Manuals, Guides, and Procedures
Purchasing Manual
Purpose: The purchasing manual is an official guide for the departments, schools, divisions, offices, and other organizational entities of UNC Charlotte. These policies should be used for the procurement and handling of supplies, materials, equipment, and services as directed by the General Statutes of the State of North Carolina and as stated in University Policy 601.11, Purchasing Policy.
Please contact Purchasing office if your specific question is not covered.
As purchasing policies or procedures change, this webpage will be updated. Please bookmark this site and refer to it often.
Scott Brechtel, Director of Materials Management
Contact Email: purchasing@charlotte.edu
Last Updated: September 12, 2024
Red Flags Rule
Overview
The Red Flags Rule (Rule) was issued in 2007 by the Federal Trade Commission (FTC) after the Fair and Accurate Credit Transactions Act (FACTA) added provisions to the Fair Credit Reporting Act (FCRA) designed to improve the accuracy of consumers’ credit-related records and directed the FTC to issue guidelines for financial institutions and creditors regarding identity theft with respect to their account holders and customers. The Rule is actually three different but related rules, two of which apply to the University.
The Rule requires financial institutions and creditors that offer or maintain one or more covered accounts to implement a written Identity Theft Prevention Program (ITPP) designed to detect, prevent, and mitigate identity theft. Red Flags are suspicious patterns or practices or specific activities that indicate the possibility that identity theft may occur. The University’s ITPP was initially approved by the University’s Board of Trustees in 2009, and last revised in 2022. All departments, colleges, and units who are involved with handling Personally Identifiable Information (PII) in connection with the opening of covered accounts and with respect to existing covered accounts must comply with the University’s ITPP and develop reasonable processes and procedures to verify the identity of persons for whom services are being provided and to detect, prevent, and mitigate any instances of identity theft.
The Rule also requires a user of a consumer report to employ reasonable policies and procedures when the user receives a notice of address discrepancy. Therefore, to prevent identity theft regarding an employment or volunteer position for which a credit or background report is sought, University personnel shall take the following steps to assist in identifying address discrepancies:
- Require written verification from any applicant that the address provided by the applicant is accurate at the time the request for the credit report is made to the consumer reporting agency; and
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If notice of an address discrepancy is received, verify that the credit report pertains to the applicant for whom the requested report was made and report to the consumer reporting agency an address for the applicant that the University has reasonably confirmed is accurate.
Other links of interest
- Full text of the FTC’s Fair Credit Reporting Act FCRA 15 U.S.C. §§ 1681-1681x, as amended by the Fair and Accurate Transaction Act of 2003 (effective Sep. 1, 2011)
- Full text of the FTC’s Red Flags Rule FTC 16 CFR Part 681, as amended by the Red Flag Program Clarification Act of 2010 (effective Jan. 1, 2011)
- SEC and CFTC’s final Identity Theft Red Flags Rule rule (effective May 20, 2013)
- Other FTC resources:
- NACUBO Red Flags Rule resources
- IRS site on Identity Protection
- NC Identity Theft Protection Act of 2005, via S1048
- UNC System Guidance (Feb. 2009)
UNC Charlotte Procedures and Forms
Red Flags Rule Annual Survey, to be completed by Key Areas (as defined in Procedures).
Red Flag Detection Form, to be completed if Red Flags are detected in the course of University operations.
Note that, while Key Areas must comply with the University’s ITPP, from a Red Flags Rule risk management perspective, all employees who are involved with handling PII must comply with the following procedures related to information security and fraud prevention.
Protection of Personally Identifiable Information
To further prevent the likelihood of identity theft occurring during the conduct of University business, the University will take the following steps with respect to its internal operating procedures to protect PII:
- Ensure that its website is secure or provide clear notice that the website is not secure;
- Ensure complete and secure destruction of paper documents and computer files containing individual account information when a decision has been made to no longer maintain such information;
- Ensure that office computers with access to PII are password protected;
- Ensure that laptops are password protected and encrypted;
- Avoid use of social security numbers when possible;
- Ensure the security of physical facilities that contain PII;
- Ensure that transmission of PII is limited and encrypted when necessary;
- Ensure computer virus protection is up to date; and
- Require and keep only the kinds of individual information that are necessary for University purposes.
Hard Copy Distribution
Each employee and contractor performing work for the University will comply with the following security measures related to hard copy files with PII:
- File cabinets, desk drawers, overhead cabinets, and any other storage space containing documents with PII will be locked when not in use, when unsupervised, and at the end of each workday.
- Clear desks, workstations, work areas, printers and fax machines, and common shared work areas of all documents containing PII when not in use.
- Whiteboards, dry-erase boards, writing tablets, and other writing surfaces in common shared work areas with PII will be erased, removed, or shredded when not in use.
- When documents containing PII are discarded, they will be placed inside a locked shred bin or immediately shredded using a mechanical crosscut or Department of Defense-approved shredding device. Label locked shred bins as “Confidential paper shredding and recycling.”
The following can be used to educate your staff regarding the Red Flags Rule and University’s ITPP:
- UNC Charlotte’s Red Flags Rule – ITPP Procedures include definitions and specific actionable items on how to prevent and mitigate identity theft, including a “Red Flag Identification and Detection Grid.”
- For information about data classification and handling, visit the Standard for Information Classification.
Last Updated: September 30, 2024
Registration Fees, How to Pay
Payment method:
The preferred method for prepaying for registration fees to conferences and non-conference events associated with University-related business is to use a University-issued Purchasing Card (P-Card).
Other allowable methods include:
- Submit a Travel Reimbursement and Expense Report form
Rationale and other considerations:
Registration fees associated with conferences and non-conference events related to University business are allowable on a P-Card. Please refer to the Travel Manual for additional information (link provided below). Note: Registration tours and other social activities at conferences cannot be paid for using a p-card. The attendee must pay out of pocket and seek reimbursement via a TRER if the department considers the expense appropriate.
How to do it:
- Complete a Travel Authorization form and obtain supervisor approval. Note that a Travel Authorization is not required if the event is local and the attendee will not be in travel status.
- Upon approval of the Travel Authorization form, the traveler or their designee may then pay the registration fee using a P-Card. When using the P-Card for travel expenses, follow the guidelines and processes identified in the Travel Manual (link provided below).
| Policies | Procedures | Forms / Links | Training and Reference Materials |
|---|---|---|---|
| University Policy 602.7, Travel Authorization and Reimbursement |
OSBM Budget Manual (Refer to Section 5 for Travel Policies)
IRS Travel, Entertainment, Gift, and Car Expenses Publication (Publication 463)
University Policy 601.8, Appropriate Use of University Funds
Purchasing Card Reference Guide (PCRG)
Contact for additional questions:
Send an email to the Purchasing Card mailbox at purchasingcard@charlotte.edu, or refer to the Purchasing Card website.
Last updated 9/14/18, 6/03/19
Last Updated: June 3, 2019
Salary Overpayments
Origins
Campus divisions and departments are ultimately responsible for the accuracy and timely submission of personnel action forms including Personnel Distribution forms (PD7) and time records. Failure to do so may result in overpayments to employees, creating an unnecessary financial burden on the department.
Payroll Calendar & Due Dates: Each year, Payroll provides monthly and bi-weekly schedules for the upcoming year, including deadlines for receiving personnel action forms and time records. The Payroll Calendar is readily available on Payroll’s website.
Supervisors: All supervisors must communicate information about search postings, hiring recommendations, terminations, leaves of absence, pay rate changes, etc. to their department’s Business Officers in a timely manner. The supervisor is then responsible for ensuring that the information is submitted through the proper approval process (e.g., through the Graduate School, Office of Academic Budget & Personnel, Human Resources and/or Payroll) prior to the “Paperwork Due to Payroll” date (in Payroll Calendar). Since some of the personnel action documents must have multiple approvals before delivery to Payroll for processing, departments may need to anticipate review time or simply monitor the status of the personnel action to help prevent potential overpayments and ensure new/current employees are paid timely.
Overpayment & Collection Process
If the employing department becomes aware of a potential overpayment, Payroll should be contacted immediately, and this overpayment form must be completed. Upon notification, Payroll will:
- Gather the supporting documents and calculate the overpayment on a gross-to-net basis. The employee is only required to repay the net amount if repayment can be accomplished within the same calendar (tax) year. If repayment crosses the calendar (tax) year, the gross amount must be repaid.
- Send written notification to the employee, with a copy to the employing department, detailing the overpayment and the University’s expectation for collection. This includes notification of North Carolina General Statute 147-86.23 which outlines the University’s right to add interest & penalties to past due accounts. Effective January 1, 2015, the University will assess a one-time 10% late payment penalty and accrue interest charges at 5% annually unless payment is received or a payment plan has been agreed to by both parties within 30 days of the notification date.
- For Repayment Options: Contact Payroll (Note: Current employees will have their overpayment collected through a payroll deduction, unless other payment arrangements are made.)
Most of the time, individuals make repayment arrangements within 30 days of being notified; however,
- If Payroll has not received a response after 30 days, the overpayment is considered past due and a second communication is sent, indicating interest and penalties will begin unless repayment arrangements are made immediately.
- Students with a past due overpayment will have a registration hold placed on their account until payment is made. Once the overpayment is 30 days past due, the student will be denied readmission, transcripts, diploma, etc. until payment is made.
- If no response is received after 60 days past due, then the Controller’s Office notifies the State of North Carolina Attorney General’s (AG) Office of the debt. The AG’s office then sends a final communication to the employee for collection. The Controller’s Office will also refer the debt to the North Carolina Department of Revenue (NCDOR), under North Carolina General Statute 105A-3(b), to have it deducted from the employee’s State income tax refund according to the Set-Off Debt Collections Act (SODCA).
- If no response is received to the AG’s letter within 90 days, then the University may turn the debt over to a state-approved collection agency.
Once full repayment is received, the funds are returned to the department and updates are made to the employee’s gross pay, taxes, deductions, and benefit records. If needed, an amended Form W-2 is issued.
Contact Email: payrolldept@charlotte.edu
Last Updated: June 22, 2021
Sales and Use Tax Exemption Certificates
Purpose: To provide the sales and use tax exemption certificates on file with UNC Charlotte’s Tax Office. The University is exempt from North Carolina sales and use tax for qualifying purchases.
Vendor Specific Certificates
- Barnes & Noble
- Dollar General
- Food Lion
- Harris Teeter (updated Jan. 2025)
- Hobby Lobby
- Home Depot (updated March 2024)
- Lowe’s
- Microsoft
- Office Depot
- Staples
- Walmart
State Specific Certificates
Contact Email: taxoffice@charlotte.edu
Last updated: January 3, 2025
Signature Authority Policy
Purpose: Clarifies the source of all University signature authority, the responsibilities of those individuals to whom University signature authority has been delegated, and the consequences of signing Contracts without the appropriate signature authority.
Last Updated: August 18, 2017
Software, How to Procure and Pay
Payment method
The primary method for purchasing computer software is to use 49er Mart, but purchasing card (p-card) use may also be acceptable on a case-by-case basis. However, before moving forward with any software or IT-related purchase, it must be reviewed and approved by OneIT. To begin this process, employees must complete the Software & IT-Related Request Form available in the procedures list below and on the OneIT website. Once the form is submitted, OneIT will immediately begin their review. The Requestor and the Purchasing Office will be notified once their review is complete. If approved, the Purchasing Office will let the campus department know to complete the purchase.
Additionally, guidance is available on paying for mobile communication device (MCD) apps.
Rationale and other considerations
Orders are processed online through a web browser, depending on the type of supplier used. To begin, choose a supplier, select items and place them in your virtual shopping cart. After shopping, your cart proceeds to the checkout, where a requisition draft is created. Enter the appropriate accounting codes (e.g., fund, account) that your department will use for this order.
- Placing the order prompts the workflow process to begin. Approvers are notified via email that an order is pending. The level of approvals required depends on the purchase type and the dollar amount. The final approval generates a purchase order (PO).
- To receive the order, you must log in to 49er Mart. Receiving initiates payment to the vendor.
How to do it
- Log in to 49er Mart
- Click on the supplier’s logo (e.g., Dell, etc.)
- If the vendor is a punch-out supplier, you will be directed to the vendor’s site to shop for your item(s)
- Add the desired item(s) to your cart and click “Checkout” when finished ordering
- If the vendor does not have a catalog, you will enter the items as non-catalog and select the appropriate supplier
- Review the details of your order, and select “Proceed to Checkout”
- Select the appropriate accounting codes for your college/department
- Perform a final review and select “Place Order”
Policies
Procedures
Training and Resources
Questions?
Email Purchasing at purchasing@charlotte.edu or refer to the list of Purchasing contacts.
Last Updated July 26, 2024
Sources and Uses of University Funds Training
Purpose: The University’s operations and activities are supported by a variety of fund sources, and each of these sources has its own spending characteristics and rules. This presentation covers the broad categories of these funding sources and some of the key considerations for the use of these funds. In addition, several of the key online resources available to departments to guide faculty and staff with their spending practices are highlighted.
Last Updated: May 1, 2023
Stipends, How to Pay
See How to Pay Students and/or How to Pay Individuals guides. For additional questions, consult with the Tax Office.
Last Updated: January 10, 2017
Subscriptions, How to Pay
Payment method
The preferred method for paying for subscriptions to professional journals, other periodicals and electronic surveys is to use a University-issued Purchasing Card (p-card).
Other allowable methods include:
- Submit a reimbursement request
Rationale and Other Considerations
The costs associated with subscriptions to professional journals, magazines, other periodicals and surveys is an allowable expense on a p-card. Because the p-card allows for an improved approval and prepayment process, it is the preferred purchasing method for such transactions.
Please note that the periodical/journal must be delivered to a University address for the cost of the subscription cost to be allowable.
Note: Refer to University Policy 601.8, “Appropriate Use of University Funds” to confirm if this is a permissible use of funds for your area.
How to do it
- Review the resources below to confirm the allowability of the purchase and obtain supervisor approval.
- Pay the subscription using a p-card.
| Policies | Procedures | Training and Reference Materials |
|---|---|---|
| University Policy 601.8, Appropriate Use of University Funds | Purchasing Card Manual |
Contact for additional questions
Email the Purchasing Card staff at purchasingcard@charlotte.edu or visit the Purchasing Card Program website.
Last Updated: August 29, 2023
Supplies and Equipment, How to Procure and Pay
Payment method:
The method for purchasing supplies and equipment is to use 49er Mart.
Rationale and other considerations:
Orders are processed online through a web browser depending on the type of supplier used. To begin, choose a supplier and proceed with selecting items and placing them in your virtual shopping cart. When you have finished shopping, your cart proceeds to the checkout and a requisition draft is created. At this point, enter the appropriate accounting codes (e.g., fund, account) to be used by your department for the order.
Placing the order prompts the workflow process to begin. Approvers are notified via email that an order is pending (the level of approvals depends upon the dollar amount and the type of purchase). The final approval generates a purchase order (PO).
To receive the order, you must log in to 49er Mart. Receiving initiates payment to the vendor.
Note: When purchasing used equipment, please refer to the Materials Management Purchasing Manual (link below) for additional guidance.
How to do it:
- Login to 49er Mart.
- Click on the logo of the supplier (e.g., Staples).
- If the vendor is a punch-out supplier, you will be directed to the vendor’s site to shop for your item(s).
- Add the desired item(s) to your cart and click “Checkout” when finished ordering.
- You will be directed back to the 49er Mart site to create your requisition.
- Review the details of your order, and click “Proceed to Checkout.”
- Select the appropriate accounting codes for your college/department.
- Perform a final review and click “Place Order.”
| Policies | Procedures | Forms / Links | Training and Reference Materials |
|---|---|---|---|
|
University Policy 601.11, Purchasing Policy State of NC Purchase and Contract Division, Administrative Code University Policy 601.8, Appropriate Use of University Funds | 49er Mart Requester – Step-by-Step Guide | 49er Mart Login
| 49er Mart Training in Canvas
|
Contact for additional questions:
Email the Purchasing Office at purchasing@charlotte.edu or refer to the list of Purchasing contacts.
Last Updated: September 14, 2018
Travel Manual
Purpose: Guidance for faculty and staff regarding payment for travel expenses incurred for UNC Charlotte business purposes.
Contact Email: travel@charlotte.edu
Last Updated: August 8, 2024
UNC Charlotte Form W-9 – Request for Taxpayer Identification Number with Certification
Purpose: This form is used to provide vendors with UNC Charlotte’s taxpayer identification number.
Last Updated: January 7, 2025
UNC Charlotte Income Tax Status
Letter stating contributions to UNC Charlotte are tax deductible as a 501c3
Last Updated: November 13, 2014
UNC Charlotte Marriott Hotel & Conference Center Information
Hotel location and information
UNC Charlotte Marriott Hotel & Conference Center (Hotel) is located close to campus and offers many ways to partner with the University. Situated on approximately four-acres near the PORTAL Building, the Hotel is located at 9041 Robert D Snyder Road, Charlotte, NC 28262 and offers direct access to the LYNX Blue Line. For more information, call 704-978-8000 or visit Marriott.com.
Did you know that UNC Charlotte Marriott Hotel & Conference Center has…
- 226 guest rooms
- 5 suites including the 1,700 square foot Chancellor suite – the only room with an outdoor terrace
- Curated art program created by UNC Charlotte faculty, alumni and students
- More than 20,000 square feet of function space
- Largest space: 7,000 square foot Crown Room that can hold as many as 800 people (when at 100% capacity) for a stand-up reception
- More than 6,000 square feet of designed outdoor function space – the outdoor plaza has views of the UNC Charlotte campus
- All function space located on one level
- A full service restaurant, Golden Owl Tavern
How to book your next campus event
If a campus department desires to hold an event at the Hotel, the department contact should first consult with their department head or another appropriate manager to confirm approval and fund availability. Click on the summarized flowchart below for the complete procedures departments should use for scheduling campus events at the Hotel.
Click the image below to enlarge:
How to reserve a hotel room
- Reserve a Standard guest room on Marriott.com at the UNC Charlotte Business Rate by following the Hotel’s reservation procedures and hotel policies. Note that this rate only applies to individual travel for University guests traveling on University business.
- Email the completed information form to the Hotel via Sales@unccharlottemarriott.com.
- If applicable, complete the third-party authorization form for purchasing card (p-card) on file (this will be emailed separately).
Last Updated: July 1, 2024
UNC Charlotte Moving Expense Procedures
Overview
Moving expenses for new hires at UNC Charlotte can either be reimbursed using State funds or provided via an allowance using Discretionary funds. All moving support from the university is fully taxable to employees. Approval of the administrative head of the employing department is required prior to making commitments to pay moving and relocation expenses. Additional approvals may be required depending on the fund source, as described in these procedures.
ELIGIBILITY CRITERIA, FUNDING SOURCES AND ALLOWABLE AMOUNTS
Eligibility
The University may pay an employee’s moving expenses when (1) Moving reimbursement or allowances are available for full-time, permanent positions, and (2) eligible employees will be moving from outside a 100-mile radius of the Greater Charlotte area.
The employee’s move must be completed within the first year of employment. Exceptions require pre-approval, in writing, from the listed responsible individual (Senior Associate Provost for Faculty and the Executive Director of HR for Staff) before offering moving expense reimbursements or allowances to the prospective employee.
Funding Sources
The University offers two types of funds for employee moving expenses: 1) Moving reimbursements, covered by State funds, or 2) Moving allowances, covered by Discretionary funds. Only one of these two fund types may be used to pay for moving expenses for a single employee for either a reimbursement or allowance.
Moving Reimbursements (State Funds)
Typical “Moving-related expenses” covered via a moving reimbursement are outlined in detail in the North Carolina Office of State Budget and Management (OSBM) Budget Manual Sections 6.8 and 6.9 and include but are not limited to:
- Payment for movement of household and personal goods includes items such as furniture, clothing, and personal effects.
- Travel expenses incurred in moving the employee and his or her family from the old residence to the new residence are as follows:
- For locating a new residence, three (3) round trips, not exceeding six (6) days and three (3) nights, are required.
- For the day of moving – subsistence, lodging and mileage
The employee is required to submit a pre-approval request to use state funds, which requires the Chancellor’s approval. The moving reimbursement will require out-of-pocket expenses for the employee and will likely take more than one month to process.
Moving Allowances (Discretionary Funds)
Typical “Moving-related expenses” covered via a Moving Allowance include, but are not limited to, house hunting, moving truck rentals, hiring moving companies, shipping costs for household items and related supplies, storage costs before or during the move, shipping costs for household pets, mileage incurred during the move, and other move-related costs such as connecting/disconnecting utilities and temporary living arrangements.
- Typically, no supporting documentation or receipts are needed.
- However, when the allowance request is for $10,000 or more, receipts must be submitted and maintained, and the allowance will only cover the actual moving-related expenses supported by receipts.
Additional Fund Guidance
Payment for all moving-related expenses is the responsibility of the employee.
The moving expense reimbursement or allowance will be paid as a taxable lump sum payment and is intended to offset some of the employee’s moving-related costs at the hiring department’s discretion.
Departments may opt to cover applicable taxes for employees via a gross-up. Discretionary funds must be used for the gross-up portion of a reimbursement or allowance, regardless of the fund type used to cover moving expenses.
The Moving Expense Reimbursement and Allowance Forms are the only approved method for paying a moving reimbursement/allowance to an employee. Moving-related expenses cannot be paid directly to an employee or a vendor via p-card, 49er Mart, or Employee & Student Direct Pay Request (ESDPR).
Allowable Amounts
Departments can submit a total request up to the following amounts:
- Moving expense support is not considered “special pay subject to the “3/9ths” rule for 9-month faculty.
- Academic Affairs Budget provides the funding for faculty moving expenses for all colleges/departments except for the Belk College of Business (BCOB) and The Williams States Lee College of Engineering (COEN).
- Funding for staff moving expenses is contingent upon the availability of departmental funds. Note that while HR (Human Resources) approves moving expense reimbursements/allowances for staff they do not provide any central source of funding.
- For exceptions, include the following required information: Candidate’s Name; Rank and/or Title; Any additional working title (e.g., Distinguished Scholar); Department/College; Standard Amount of Moving Support for rank; Requested Exception Amount; Reason exception is needed.
Discontinuation of Employment
Employees that leave University employment prior to 90 days must reimburse the University 100% of any allowance received (gross, not net of taxes). Should an employee voluntarily leave University employment within one year of hire for a position other than a promotion within North Carolina state government, they may be required to reimburse the University for a prorated portion of the allowance. The employee should work with the hiring department to determine the amount to be repaid. No tax withholding or reporting adjustments will be made by the Payroll Office. Repayment should be made directly to the department outside of the payroll system.
Procedures
- If using State funds, your department or college’s business support staff should complete a Pre-approval Request Form (download it before completing it).
- You can share this instruction guide with new employees that walks them through the information that is needed for the pre-approval and reimbursement.
- Attachments should be uploaded as PDFs. Do not upload attachments as zip files.
- New employees should NOT complete this form for themselves. The form and attachments follow an automated workflow for designated approvers, as detailed in the flowchart below:
Click the image below to enlarge:
Resources
Moving Expense Reimbursement Forms
- Moving Reimbursement Pre-Approval Request Form
- Moving Reimbursement Request Form
- Moving Allowance Request
Other resources
- OSBM Budget Manual Sections 6.8 and 6.9
- UNC Charlotte Moving Reimbursement Instruction Guide for new employees
Responsible Office: Controller’s Office
Contacts
- Faculty: Contact your College/Unit Business Officer
- Academic Affairs Budget: aa-budget@charlotte.edu
- Academic Affairs Personnel: aa-personnel@charlotte.edu
- Staff: Human Resources – Tiffani McCain, Director of Position and Performance Management, tmmccain2@charlotte.edu
- Financial Services
- Disbursements: travel@charlotte.edu
- Tax: taxoffice@charlotte.edu
- Payroll: PayrollDept@charlotte.edu
Created 2/18
Last Updated: May 1, 2024
University’s Cash Management Plan
North Carolina law, Chapter 147-86.10 of the General Statutes, requires that “all agencies, institutions, departments, bureaus, boards, commissions and officers of the State…shall devise techniques and procedures for the receipt, deposit, and disbursement of monies coming into their control and custody which are designed to maximize the interest-bearing investment of cash and to minimize idle and nonproductive cash balances.”
The University Controller has responsibility for developing and administering the Cash Management Plan in compliance with the Statewide Cash Management Plan, North Carolina General Statutes, and the State Treasurer. This Plan is maintained in the University Controller’s office for auditor review. The Internal Audit Office will periodically review cash management activities to ensure compliance with University policies and procedures. The State Auditor will annually determine if the University is in compliance with the Statewide Cash Management Plan.
The University’s Cash Management Plan most recently approved by the Office of State Controller (OSC) can be found above.
Last Updated: March 25, 2024