Trustee
Policies and Regulations Governing Academic Tenure
in the University of North Carolina at Chapel Hill
These policies and regulations were adopted by the
Board of Trustees of The University of North Carolina at Chapel Hill on
April 9, 1976, were approved by the President and the Board of Governors of
The University of North Carolina on May 14, 1976; and became effective on
June 18, 1976. They have been amended December 1978, June 1980, June 1982,
January 1987, June 1987, February 1994, April 9, 1998, September 9, 2000,
January 2004, and May 2004.
They were adopted by the Board of Trustees pursuant
to and in subordination to Chapter Six of The Code of The University of
North Carolina, which is set forth in the Appendix hereto. References in
this document to any decision or action as being "final,” or "without
further recourse,” or as being terminal by any other form of words, are made
in relation to the processes of The University of North Carolina at Chapel
Hill. Each is subject to any further review procedures which may be provided
by law or by The Code of The University of North Carolina
Section 1. Academic Freedom
Academic freedom is the right of a faculty member to be responsibly
engaged in efforts to discover, speak and teach the truth. It is the policy
of the University to maintain and encourage full freedom, within the law, of
inquiry, discourse, teaching, research, and publication and to protect any
member of the faculty against influences, from within or without the
University, which would restrict the faculty member in the exercise of these
freedoms in his or her area of scholarly interest.
The University recognizes that in his or her role as citizen, as to
matters outside the area of his or her scholarly interest, the faculty
member has the right to enjoy the same freedoms as other citizens, without
institutional censorship or discipline, though he or she should avoid abuse
of these freedoms. The faculty member should recognize that accuracy,
forthrightness, and dignity befit his or her association with the University
and his or her position as a person of learning. Except when officially
authorized, a faculty member should not represent himself or herself as a
spokesman for the University.
Section 2. Academic Tenure
a. In general
Academic tenure refers to the conditions and guarantees that apply to a
faculty member's employment. More specifically, it refers to the protection
of a faculty member against involuntary suspension or discharge from, or
termination of, the faculty member's employment by the University except
upon specified grounds and in accordance with specified procedures. Those
grounds and procedures are exclusively as provided in Section 3 (suspension
and discharge) and Section 6 (termination) hereof.
The purposes intended to be served by according the protections of
academic tenure to faculty members are to secure their freedom and to aid
this University in attracting and retaining faculty members of the high
quality it seeks. While academic tenure may be withheld on any grounds other
than those specifically stated to be impermissible under Section 4 hereof,
its conferral requires an assessment of institutional needs and resources
and evidence of service to the academic community, potential for future
contribution, commitment to the welfare of the University, and demonstrated
professional competence, including consideration of commitment to effective
teaching, research, or public service.
b. In relation to faculty ranks
Academic tenure, as herein defined, pertains exclusively to the
employment of members of the faculty by appointment to specified faculty
ranks. Such appointments may be for fixed terms of employment, automatically
terminable upon their expirations (“fixed term appointment”); or they may be
for renewable probationary terms (“probationary term appointment”); or they
may be continuous until compulsory retirement or earlier resignation or
death (“tenured appointment” or “appointment with permanent tenure”).
The faculty ranks to which appointments may be made, and the incidents of
academic tenure applicable to each, are as follows:
1.
Professor. Either promotion or initial appointment to the rank of
professor confers permanent tenure from the effective date of the promotion
or appointment.
2.
Associate Professor. A promotion at any time to the rank of associate
professor confers permanent tenure from the effective date of the promotion.
Initial appointment to the rank of associate
professor is ordinarily for a probationary term of five years. With the
written approval of the immediate supervisor of the department chairman
obtained in advance of the initiation of formal appointment procedures, an
initial appointment to the rank of associate professor with permanent tenure
may be initiated and made effective upon subsequent approval of the
appointment by the regularly prescribed procedures for initiation, review
and final approval.
No less than 12 months before the end of a five
year probationary term appointment as associate professor, a decision shall
be made and communicated in writing to the associate professor as to whether
he or she will be reappointed upon expiration of the current term. This
decision shall be made and communicated as provided in Section 2.c. hereof.
No decision need then be made as to the rank to be had upon reappointment.
If a decision is made to reappoint and no promotion has been made prior to
expiration of the five year term, the associate professor is thereupon
reappointed at the rank of associate professor, with permanent tenure.
Effective through June 30, 2004. In any
case where an associate professor has served five years in that rank and
acquires (or continues to have) permanent tenure at that rank, a review
shall thereafter be made not less frequently than every third year to
determine his or her qualification for promotion. The review shall be made
by the chairman of the department
concerned, in consultation with the assembled full professors of the
department. A report of negative decisions, with supporting reasons, shall
be put forward for information through the administrative channels
prescribed for the review of recommendations for initial appointment of an
associate professor to a five year term. [Repealed May 20, 2004, effective
July 1, 2004.]
3.
Assistant Professor. Initial appointment to the rank of assistant
professor is for a probationary term of four years. [See Section 7.a.] No
less than 12 months before the end of this term a decision shall be made and
communicated in writing to the assistant professor as to whether he or she
will be reappointed upon expiration of the current term. The decision shall
be made and communicated in the manner provided in Section 2.c. hereof. No
decision need then be made as to the rank to be had upon reappointment. If a
decision to reappoint is made and no promotion is then made prior to the
expiration of the current term, the assistant professor is thereupon
reappointed for a second probationary term of three years at the rank of
assistant professor.
No less than 12 months before the end of such a
second term, a decision shall be made and communicated in writing to the
assistant professor as to whether he or she will be reappointed upon
expiration of the current term. The decision shall be made and communicated
as provided in Section 2.c. hereof. If the decision is to reappoint, the
notice thereof shall also inform the faculty member whether reappointment
will be at the same rank or with promotion to the rank of associate
professor; and a faculty member given notice that reappointment will be at
the same rank shall be then informed by his or her chairman whether he or
she will be reconsidered for promotion prior to the effective date of the
reappointment. If a decision to reappoint is made and no promotion is then
made prior to the expiration of the current term, the assistant professor is
thereupon reappointed at the rank of assistant professor with permanent
tenure. Reappointment at the rank of assistant professor following
expiration of the second probationary term should be made only in clearly
exceptional circumstances.
Effective through June 30, 2004. In any
case where an assistant professor acquires permanent tenure at that rank, a
review shall thereafter be made not less frequently than every third year to
determine his or her qualifications for promotion. The review shall be made
by the department chairman concerned, in consultation with the assembled
full professors of the department. A report of negative decisions, with
supporting reasons, shall be put forward for information through the
administrative channels prescribed for the review of recommendations for
initial appointment of assistant professors. [Repealed May 20, 2004,
effective July 1, 2004.]
4.
Instructor. This rank is appropriate for one appointed to the faculty
with the expectation that in normal course he or she will progress to the
professional ranks in this or another institution.
Initial appointment to the rank of instructor is
for a probationary term of one year. The instructor may be reappointed
successively for three further one year terms, a total of four such terms.
At least 90 calendar days before the end of the first term, 180 calendar
days before the end of the second term, and 12 months before the end of the
third term, a decision shall be made and communicated in writing to the
instructor as to whether upon expiration of that term he or she will be
reappointed at the rank of instructor for another term, promoted to the rank
of assistant professor, or not reappointed. At least 12 months before the
end of a fourth successive term a decision shall be made and communicated in
writing to the instructor as to whether upon expiration of that term he or
she will be promoted to the rank of assistant professor, or not reappointed.
No reappointment to the rank of instructor may be made after four years'
employment at that rank. [See Section 7.b.] The decisions herein required
and the communication thereof, shall be made as provided in Section 2.c.
Promotion at any time from the rank of
instructor to that of assistant professor constitutes an initial appointment
at the latter rank, with the incidents described in Section 2.b.(3) hereof.
An appointment or reappointment at the rank of instructor may be made on the
specified condition that automatically upon the conferral of a specified
academic degree the instructor shall be reappointed at the rank of assistant
professor. In such cases the effective date of the appointment at the rank
of assistant professor shall be retroactive to the effective date of the
current appointment as instructor, or to the July 1st or January 1st
immediately preceding the conferral of the specified academic degree,
whichever is nearest in point of time. [See Section 7.c.]
5.
Fixed-term faculty ranks: lecturer and equivalents. Appointments may be
made to fixed-term faculty ranks with title designations “Lecturer,” “Artist
in Residence,” “Writer in Residence,” and any of the faculty rank
designations provided in paragraphs (1) through (4) of this subsection with
the prefix-qualifier “Adjunct,” “Clinical,” or “Research,” under the
conditions and with the incidents herein provided. Such an appointment,
utilizing any of the foregoing title designations, is appropriate for one
who possesses unusual qualifications for teaching, research, academic
administration, or public service from an academic base, but for whom none
of the professorial ranks nor the instructor rank is appropriate because of
the limited duration of the mission for which appointed, or because of
concern for continued availability of special funding for the position, or
for other valid institutional reasons.
Effective July 1, 2004. Fixed-term faculty ranks: lecturer and
equivalents. Appointments may be made to fixed-term faculty ranks with title
designations “Professor of the Practice,” “Lecturer,” “Senior Lecturer,”
“Artist in Residence,” “Writer in Residence,” and any of the faculty rank
designations provided in paragraphs (1) through (4) of this subsection with
the prefix-qualifier “Adjunct,” “Clinical,” or “Research,” under the
conditions and with the incidents herein provided. Such an appointment,
utilizing any of the foregoing title designations, is appropriate for one
who possesses unusual qualifications for teaching, research, academic
administration, or public service from an academic base, but for whom none
of the professorial ranks nor the instructor rank is appropriate because of
the limited duration of the mission for which appointed, or because of
concern for continued availability of special funding for the position, or
for other valid institutional reasons. [Amended May 20, 2004]
Initial appointment may be for a fixed term of
from one to five years.
Subsequent appointments for fixed terms of one
to five years' duration may be made either in direct succession or at
intervals. Each is considered an initial appointment. No obligation exists
on the part of the University to give any notice in advance of expiration of
a current term as to whether appointment will be offered for a succeeding
term. But upon request of the faculty member made in writing to the chairman
of the department concerned not earlier than 180 calendar days nor later
than 90 calendar days before the expiration of a current term, the
department chairman shall within 20 calendar days thereafter communicate in
writing to the faculty member a decision whether such an offer will be made,
and if so, its terms. Failure to communicate a decision constitutes notice
that no offer will be made.
The decisions herein required shall be made as
provided in Section 2.c. hereof.
c. General provisions
(1) Initiation, review, and approval of
appointments, promotions, and reappointments
Each initial appointment with permanent tenure
or for a fixed or probationary term longer than one year, each promotion in
rank, and each reappointment of an instructor, assistant professor or
associate professor shall be initiated by recommendation of the chairman of
the department concerned after consultation with the assembled full
professors of that department. [See Section 7.d.] Each such recommendation
shall be based upon considerations of the demonstrated professional
competence and the potential for future contribution of the faculty member,
and of the needs and resources of the institution. Initial appointments to
terms not exceeding one year may be initiated by the department chairman
acting on his or her own initiative. Each such recommendation shall then be
reviewed in accordance with prescribed procedures for the particular action,
which procedures shall provide for final approval by a designated authority.
Final authority for approving any action which confers permanent tenure is
in the President and Board of Governors unless by that Board delegated.
Final authority for approving all other actions above enumerated is in the
Board of Trustees unless delegated.
(2) Decisions not to
reappoint upon expiration of probationary terms
A decision not to reappoint upon expiration of a
probationary term at the rank of instructor, assistant professor or
associate professor may be made in the first instance by the chairman of the
department after consultation with the assembled full professors of the
department; or it may be made, following a recommendation to reappoint by
the department chairman, by any other officer of administration
charged with reviewing such a recommendation. By whatever officer of
administration made, a decision not to reappoint is final except as it may
subsequently be reviewed in accordance with the provisions of Sections 4 and
8. Permissible and impermissible grounds for making a decision not to
reappoint are as provided in Section 4.a. hereof. Each decision not to
reappoint shall be communicated for information through the administrative
channels prescribed for review of a recommendation to reappoint; and notice
thereof shall be communicated in writing to the faculty member by the
department chairman within the times prescribed by Sections 2.b.(2), (3),
and (4) hereof. [Amended 6/20/80]
(3) Failure to give
timely notice
i.
If a decision not to reappoint is timely made but not timely
communicated as herein required, a one year terminal appointment commencing
on the date of expiration of the current term of appointment shall be
offered in writing. This offer shall serve as timely notice of
nonreappointment upon expiration of the terminal year appointment.
ii.
If no decision whether to reappoint has been made at the time notice
thereof is required, the Chancellor (or his or her delegate) shall,
immediately upon discovery of the failure, direct the department chairman
concerned to initiate the consultation procedure required to make the
decision. The decision shall be made within 60 calendar days after the date
of direction. If the decision is to recommend reappointment the department
chairman shall forward the recommendation through the channels provided for
review of such a recommendation. If the decision is not to reappoint, the
department chairman shall forward notice thereof for information through the
channels for review and shall forthwith give written notice of
nonreappointment to the faculty member. If a recommendation to reappoint is
given final approval, it operates with the same effect as would have a
decision to reappoint timely made and communicated. If a final decision not
to reappoint is made at any level, written notice thereof shall forthwith be
given to the faculty member by the department chairman. Such notice operates
as an offer of a terminal appointment, commencing at the expiration of the
current term of appointment and running for one year or, if the most recent
term of appointment has expired, commencing with the giving of the notice
and expiring one year from the beginning of the regular semester which next
follows the giving of notice.
(4) Timing of permanent
tenure actions
No recommendation for a promotion or
reappointment which under the provisions hereof will confer permanent tenure
may be initiated until the faculty member has been in the active employment
of the University for at least 18 months. No such recommendation may be
initiated which would have an effective date more than 18 months after its
initiation. Except as thus expressly limited, promotions in rank may be made
at any time during a faculty member's employment.
(5) Visiting faculty
members
Persons other than regular members of the
faculty may be appointed as visiting members of the faculty with rank
designations, prefixed by the word “Visiting,” appropriate to their status
in their regular employment. Such appointments shall be for a term of not
more than one year. One successive appointment for a term of not more than
one year may be made. Appointments are made in accordance with the
procedures for appointment of an instructor. During such terms of
appointment the visiting faculty member may not be suspended, discharged or
terminated except upon the grounds and by the procedures provided
respectively in Sections 3 and 6 hereof.
(6) Terms and conditions
of appointments
The terms and conditions of each initial
appointment and of each reappointment to the faculty shall be set out in
writing. A copy thereof, signed by the Chancellor (or his or her delegate),
shall be delivered to the faculty member and a copy shall be retained for
the Chancellor. The general terms and conditions of such appointments,
including those provided herein, shall either be set out in the document of
appointment or incorporated therein by clear reference to specified
documents which shall be readily available to the faculty member.
Except as may be otherwise expressly provided in
the documents of appointment, all appointments to any faculty rank are on
the basis of a full-time employment obligation and confer the full incidents
of academic tenure pertinent to the particular appointment. [Amended
2/18/94]
Any special terms and conditions shall be
clearly stated in the written appointment. Special terms and conditions
added by memorandum of amendment must be approved by signature of the
Chancellor (or his or her delegate) and the faculty member, with a copy to
be retained by each. Except as herein provided, no special terms or
conditions may be included which vary the general terms and conditions
stated herein. The responsibility for initiating the inclusion of special
terms and conditions in documents of appointment is with the chairman or
dean recommending the appointment. [Amended 2/18/94]
(i) Continued availability
of special funding
The appointment, reappointment, or promotion of
a faculty member to a position funded in whole or in substantial part from
sources other than continuing State budget funds or permanent trust funds
shall specify in writing that the continuance of the faculty member's
services, whether on tenured, probationary or fixed term appointment, shall
be contingent upon the continuing availability of funds from sources other
than continuing State budget funds or permanent trust funds. Such
contingency shall not be included in a promotion to a higher rank if, before
the effective date of the promotion, the faculty member had permanent tenure
with no such condition attached to his or her tenure; nor shall such a
contingency be attached to the appointment of a faculty member if he or she
held permanent tenure in the institution on July 1, 1975, and his or her
appointment was not then contingent upon the continuing availability of
funds from sources other than continuing State budget funds or permanent
trust funds.
Further exceptions to this requirement may be
made with respect to faculty members in the Division of Health Affairs in
accordance with the following policies and procedures. Each year there shall
be established for each School in the Division of Health Affairs a maximum
amount of funds from sources other than continuing State budget funds,
permanent trust funds, and clinical income (treated for this purpose as
though it were income from permanent trust funds) which may be used in
compensating faculty members without including contingency clauses in their
appointments. This maximum amount shall be established for each School in
consultations among the Vice-Chancellor for Health Affairs, the
Vice-Chancellor for Business and Finance, and the dean of that School, with
the approval of the Chancellor. The dean of each School may recommend that
an individual appointment be made without inclusion of a contingency clause
notwithstanding it is funded in whole or in part from sources other than
continuing State budget funds, permanent trust funds, or clinical income,
and though it is not covered by either of the exceptions stated in the
preceding paragraph, if the amount of funding from such other sources does
not cause the agreed maximum for the School to be exceeded. Approval of such
recommendation may be declined on any grounds deemed appropriate by the
reviewing officers of administration, but in no event shall it be given if
the proposed funding of the appointment would cause the maximum applicable
to the School to be exceeded.
(ii) Provisions for less
than full-time employment
Special terms for less than full-time employment
with commensurate compensation, or for relief from all employment
obligations for a specified period, may be included in an appointment or
reappointment to any faculty rank, or may be added by written memorandum of
amendment during the term of an appointment. For reasons of health,
requirements of childbirth or child care, or similar compelling
circumstances, such terms may, with the concurrence of the faculty member,
include extensions of the period of a current probationary term of
appointment at the rank of assistant professor or associate professor to
coincide with the extent and duration of the relief from employment
obligations, up to a maximum of 12 months. [Amended 2/18/94]
(ii) Effective July 1,
2004. Provisions for less than full-time employment
Special terms for less than full-time employment
with commensurate compensation, or for relief from all employment
obligations for a specified period, may be included in an appointment or
reappointment to any faculty rank, or may be added by written memorandum of
amendment during the term of an appointment. For reasons of health,
requirements of childbirth or child care, or similar compelling
circumstances, such terms may, with the concurrence of the faculty member,
include extensions of the period of a current probationary term of
appointment at the rank of assistant professor or associate professor, and
thereby the maximum probationary period, to coincide with the extent and
duration of the relief from employment obligations. Extensions under this
subsection (ii) may be granted in increments not to exceed 12 months, up to
a maximum of 24 months (including any extensions that may have been granted
under subsection (iii), below). [Amended May 20, 2004]
(iii) Special provisions
for extending the maximum probationary period
For reasons of health, requirements of
childbirth or child care, or similar compelling circumstances, a faculty
member holding a probationary term of appointment at the rank of assistant
professor or associate professor may request that the maximum probationary
period be extended for a period not to exceed 12 months (including any
extension that may have been granted under subsection (ii) above), with no
resulting change in normal employment obligations, in order to provide the
faculty member additional time to demonstrate fully his or her professional
qualifications for reappointment or permanent tenure. [Amended 2/18/94]
(iii) Effective July 1,
2004. Special provisions for extending the maximum probationary period
For reasons of health, requirements of
childbirth or child care, or similar compelling circumstances, a faculty
member holding a probationary term of appointment at the rank of assistant
professor or associate professor may request a written memorandum of
amendment extending the term of the current appointment and thereby the
maximum probationary period with no resulting change in normal employment
obligations, in order to provide the faculty member additional time to
demonstrate fully his or her professional qualifications for reappointment
or permanent tenure. Extensions under this subsection (iii) may be granted
in increments not to exceed 12 months, up to a maximum of 24 months
(including any extensions that may have been granted under subsection (ii),
above). [Amended May 20, 2004.]
(iv) Extension and special
assignment
Any request pursuant to subsection (ii) or (iii)
above must be initiated not later than 24 months before the end of the term
to which it is to apply and must be approved by the Chancellor. The total
extension granted under subsection (ii) and subsection (iii) above cannot
exceed 12 months. A request for extension initiated during the third or
fourth year of an initial probationary term at the rank of assistant
professor shall be granted only upon the condition that the initial
appointment is renewed. [Amended 2/18/94]
The provisions of subsections (ii) and (iii)
above do not apply to informal temporary adjustments of the regularly
assigned duties of faculty members by the department chairman who is
responsible for their direct supervision; nor to the granting by the
University of extended leaves of absence with or without compensation.
[Amended 2/18/94]
(iv) Effective July 1,
2004. Extensions and special assignment
If possible under the circumstances, requests
pursuant to subsection (ii) or (iii) above should be initiated not later
than 24 months before the end of the term to which it is to apply and must
be initiated before the process for evaluating the faculty member for
reappointment has begun. All such extensions must be approved by the
Chancellor before becoming effective. The total of all extensions granted
under subsection (ii) and subsection (iii) above cannot exceed 24 months.
[Amended May 20, 2004]
The provisions of subsections (ii) and (iii)
above do not apply to informal temporary adjustments of the regularly
assigned duties of faculty members by the department chairman who is
responsible for their direct supervision; nor to the granting by the
University of extended leaves of absence with or without compensation.
[Amended 2/18/94]
(7) Joint appointments
A faculty member may at one time hold but one
faculty appointment at the rank of professor, associate professor, or
assistant professor. [See Section 7.e.] This appointment may be held in a
single department, or, by joint appointment, in more than one department.
Joint appointments may be made in which the
appointee holds in addition to a professorial rank in one department a
fixed-term rank in another department, or different fixed-term ranks in
different departments. A joint appointment to the faculties of more than one
department may be made in accordance with the provisions of this subsection.
When an initial joint appointment is to be made, the regular procedures
prescribed herein for initial appointment to the rank proposed shall be
followed simultaneously by the departments involved in making a joint
recommendation for appointment. The joint recommendation shall designate one
of the departments as the unit of base appointment, and shall set forth as
special terms and conditions for inclusion in the appointing document: the
basis of initial funding of the appointment; the procedures agreed to be
followed by the departments in making joint decisions respecting promotion,
reappointment, and tenure of the joint appointee; and the procedures to be
followed by the chairmen in respect of salary adjustments for the joint
appointee. If the joint appointment is approved, thereafter the base
department is responsible for processing personnel actions affecting the
joint appointee, but in respect of each such action the recommendation put
forward shall be one jointly concurred in by the departments concerned as
required by their agreed procedures for joint consultation and decision.
An appointment to a single department may be
converted into a joint appointment. The department chairmen concerned shall
jointly put forward through the regular channels for review of initial
appointments a recommendation that the existing appointment be converted
into a joint appointment. The joint recommendation shall include the same
elements required in respect of a recommendation for initial joint
appointment. Upon approval of such a recommendation, the joint appointee
retains the single rank with the same incidents of academic tenure already
possessed. Thereafter, all personnel actions affecting his or her academic
tenure shall be processed as provided in the case of an initial joint
appointment.
(8) Post-tenure review
The chair of the department
shall conduct period reviews of each tenured faculty member’s performance.
Reviews must involve faculty peers, examine all aspects of the faculty
member’s academic performance, and be conducted no less often than ever five
years. The goal of the review is to enhance faculty performance.
Comprehensive reviews conducted for other purposes, such as consideration
for promotion, may constitute a review under this Section. On petition of
the chairman, the Chancellor or his delegate may grant permission to delay a
review if the number of reviews to be conducted by a department during a
given year would create a burden that would impair the department’s
educational mission, or for other good cause. [Amended 9/29/00]
(9) Resignations
A faculty member shall give prompt written
notice of his or her resignation, with its effective date, to the chairman
of his or her department.
Section 3. Suspension, Diminishment in Rank, and Discharge of Faculty
Members
During any fixed or probationary term appointment and while on permanent
tenure, a faculty member may be suspended, diminished in rank, or discharged
from employment only on the grounds and in accordance with the procedures
herein provided.
a. Grounds for suspension, diminishment in rank, or discharge
The permissible grounds for suspension, diminishment in rank, or
discharge are misconduct of such a nature as to indicate that the faculty
member is unfit to continue as a member of the faculty, incompetence, and
neglect of duty.
b. Procedures for discharge
1. The
Chancellor or his or her delegate shall send the faculty member by
registered mail, return receipt requested, a written statement of intention
to discharge him or her. The statement shall include notice of the faculty
member's right, upon request, to both written specification of the reasons
for the intended discharge and a hearing by an elected standing faculty
committee on hearings.
2. If,
within ten days
after he or she receives the notice referred to in paragraph (1) above, the
faculty member makes no written request for either a specification of
reasons or a hearing, he or she may be discharged without recourse to any
further institutional procedure by a written letter of discharge from the
Chancellor.
3. If,
within ten days after he or she receives the notice referred to in paragraph
(1) above, the faculty member makes written request, by registered mail,
return receipt requested, for a specification of reasons, the Chancellor or
his or her delegate shall supply such specification in writing by registered
mail, return receipt requested, within ten days after receiving the request.
If the faculty member makes no written request for a hearing within ten days
after he or she receives the specification, the faculty member may be
discharged without recourse to any further institutional procedure by a
written letter of discharge from the Chancellor.
4. If the
faculty member makes a timely request for a hearing, the Chancellor or his
or her delegate shall insure that the hearing is accorded before a standing
committee of the faculty composed of at least five faculty members who had
permanent tenure when elected by the voting members of the general faculty.
The hearing shall be on the written specification of reasons for the
intended discharge. The hearing committee shall accord the faculty member
twenty days from the time it receives his or her written request for a
hearing to prepare his or her defense. The hearing committee may, upon the
faculty member's written request and for good cause, extend this time by
written notice to the faculty member. [Amended 6/20/80 and 9/9/00]
5. The
hearing shall be closed to the public unless the faculty member and the
hearing committee agree that it may be open. The faculty member shall have
the right to counsel, to present the testimony of witnesses and other
evidence, to confront and cross-examine adverse witnesses, and to examine
all documents and other adverse demonstrative evidence. A written transcript
of all proceedings shall be kept; upon request, a copy thereof shall be
furnished to the faculty member at the University's expense.
6. The
Chancellor, or his or her delegate or counsel, may participate in the
hearing to present evidence, cross-examine witnesses, and make argument.
7. In
reaching decisions on which its written recommendations to the Chancellor
shall be based, the committee shall consider only the evidence presented at
the hearing and such written and oral arguments as the committee, in its
discretion, may allow. The committee shall make its written recommendations
to the Chancellor within ten days after its hearing concludes.
8. In
reaching a decision, the Chancellor shall consider only the written
transcript of the hearing and the report of the hearing committee. If the
Chancellor intends to reject the recommendation of the hearing committee,
the Chancellor shall communicate that intention to the affected faculty
member and to the committee along with his or her reasons and provide an
opportunity for committee response before taking final action. In such a
case the committee shall reconsider its recommendation, taking account of
the Chancellor's stated objections and receiving new evidence if the
committee deems it necessary. The committee shall transmit its response to
the Chancellor within ten days of the committee's receipt of the
Chancellor's communication. After considering the committee response, the
Chancellor shall issue a decision either concurring in or declining to
accept the committee's recommendation. The Chancellor's decision shall be
conveyed in writing to the affected faculty member and to the hearing
committee. If the Chancellor concurs in a recommendation of the hearing
committee that is favorable to the faculty member, his or her decision shall
be final. If the Chancellor either declines to accept a hearing committee
recommendation that is favorable to the faculty member or concurs in a
hearing committee recommendation that is unfavorable to the faculty member,
the faculty member may seek review of the Chancellor's decision by the Board
of Trustees as provided in Section 8. [Amended 6/20/80; 1/9/87; 4/9/98]
9. When a
faculty member has been notified of the University's intention to discharge
him or her, the Chancellor may suspend him or her at any time and continue
the suspension until a final decision concerning discharge has been reached
by the procedures prescribed herein. Suspension shall be exceptional and
shall be with full pay.
Section 4. Nonreappointment of Faculty Members on Probationary-Term
Appointments
a. Permissible and impermissible grounds for nonreappointment
Effective through December 31, 2003. Except as herein provided,
the decision not to reappoint a faculty member upon expiration of a
probationary term of appointment is committed, without further recourse, to
the judgment of the officers of administration authorized to make it, acting
in accordance with prescribed procedures. In exercise of their judgment,
whether in the first instance or in review of a recommendation to reappoint,
such officers may take into account and use as the basis of decision, in
whole or in part, any factors deemed relevant to total institutional
interests; except that the decision may not be based upon: (1) exercise by
the faculty member of rights of freedom of speech guaranteed by the First
Amendment to the Constitution of the United States or by Article I of the
Constitution of North Carolina; or (2) discrimination based upon the race,
sex, religion, or national origin of the faculty member; or (3) personal
malice.
Effective January 1, 2004. Except as herein provided, the decision
not to reappoint a faculty member upon expiration of a probationary term of
appointment is committed, without further recourse, to the judgment of the
officers of administration authorized to make it, acting in accordance with
prescribed procedures. In exercise of their judgment, whether in the first
instance or in review of a recommendation to reappoint, such officers may
take into account and use as the basis of decision, in whole or in part, any
factors deemed relevant to total institutional interests; except that the
decision may not be based upon: (1) exercise by the faculty member of rights
of freedom of speech guaranteed by the First Amendment to the Constitution
of the United States or by Article I of the Constitution of North Carolina;
or (2) discrimination based upon the race, color, sex, religion, national
origin, age, disability, or honorable service in the armed services of the
United States of the faculty member; or (3) personal malice. [Amended
1/1/04]
[Note: The 1/1/04 amendment added color, age, disability, and honorable
service in the armed services to the list of impermissible bases of
discrimination.]
Effective July 1, 2004. Except as herein provided, the decision
not to reappoint a faculty member upon expiration of a probationary term of
appointment is committed, without further recourse, to the judgment of the
officers of administration authorized to make it, acting in accordance with
prescribed procedures. In exercise of their judgment, whether in the first
instance or in review of a recommendation to reappoint, such officers may
take into account and use as the basis of decision, in whole or in part, any
factors deemed relevant to total institutional interests; except that the
decision may not be based upon: (1) exercise by the faculty member of rights
of freedom of speech guaranteed by the First Amendment to the Constitution
of the United States or by Article I of the Constitution of North Carolina;
or (2) discrimination based upon the race, color, sex, sexual orientation,
religion, national origin, age, disability, or honorable service in the
armed services of the United States of the faculty member; or (3) personal
malice. [Amended May 20, 2004, effective July 1, 2004]
[Note: the 5/20/04 amendment added sexual orientation to the list of
impermissible bases of discrimination.]
b. Administrative conferences following decision not to reappoint
Within 10 days after receiving written notice of nonreappointment, a
faculty member may in writing request a private conference with the officer
of administration who made the decision, to discuss the reasons for
nonreappointment. If the identity of the officer is not known to the faculty
member, the department chairman shall provide the information forthwith upon
request of the faculty member. The request for conference shall be granted
and the conference held forthwith, within 5 days after receipt of the
request if possible. Within 5 days after completion of the conference the
officer of administration shall give a simple unelaborated written notice to
the faculty member as to whether the original decision remains in effect.
If the notice is that the original decision remains in effect, the
faculty member may proceed as follows. When the decision not to reappoint
was made by an officer of administration in review of the recommendation of
a department chairman to reappoint, the faculty member may thereupon
proceed, in accordance with succeeding subsections, to request review by the
standing committee of the faculty charged with reviewing discharges under
Section 3 hereof.
When the decision was made in the first instance by the department
chairman, the faculty member may, within 5 days after receipt of the notice,
in writing request a conference with the officer of administration in
immediate supervision of the department chairman. This request shall be
granted and the conference held forthwith, within 5 days after receipt of
the request if possible. Within 10 days after completion of the conference,
the reviewing officer of administration shall in writing communicate his or
her evaluation of the matter to the faculty member and to the department
chairman.
The evaluation may be in the form of an unelaborated concurrence with the
decision; an expression of disagreement with the decision, with or without
supporting reasons; or a recommendation for reconsideration of the decision,
with or without suggestions for specific procedures to be followed upon
reconsideration. Whatever form the evaluation may take, it is merely
recommendatory and not binding upon the department chairman, nor final as to
the faculty member.
Within 5 days after receipt of an evaluation which involves disagreement
with the decision or recommendation for its reconsideration, the department
chairman shall in writing notify the faculty member and his or her immediate
supervisor of his or her response.
c. Request for review by hearing committee; scope of review
If the faculty member has requested and participated in the
administrative conferences provided in subsection b. and has received notice
of unfavorable action resulting therefrom, the faculty member may within 5
days after receipt of such notice request a review of the decision by the
standing committee of the faculty charged (under Section 3 hereof) with
conducting hearings on faculty discharges. Such review may be had solely to
determine whether the decision not to reappoint was (1) based upon any of
the grounds stated to be impermissible in subsection a. of this Section 4,
or (2) affected by material procedural irregularities. Whether procedural
irregularities occurred shall be determined by reference to those procedures
which were in effect when the initial decision not to reappoint was made and
communicated. The hearing committee shall ask the Chancellor to certify what
procedures were then in effect if that is a matter of dispute. For purposes
of this Section 4, “material procedural irregularities” means departures
from prescribed procedures governing reappointment that cast reasonable
doubt upon the validity of the original decision not to reappoint.
The request for review shall be in writing and addressed to the chairman
of the hearing committee. It shall specify the grounds upon which it is
contended that the decision was impermissibly based or affected by material
procedural irregularities, and shall include a short and plain statement of
facts which the faculty member believes support the contention.
Submission of such a request constitutes on the part of the faculty
member: (1) a representation that he or she can support his or her
contention by factual proof, and (2) an agreement that the institution may
offer in rebuttal of his or her contention any relevant data within its
possession.
The hearing committee shall consider the request and shall grant a
hearing if it determines after a preliminary review that the request
contains a contention that the decision was impermissibly based or affected
by material procedural irregularities and that the facts suggested, if
established, might support the contention. If the request is not granted,
this finally confirms the decision within the institution. If the request is
granted, a hearing shall be held within 10 days after receipt of the
request, provided that the faculty member shall be given at least 5 days
notice of the hearing. [Amended 6/20/80; 1/9/87]
d. Conduct of hearing
The question before the committee shall be decided by the committee.
However, the committee may delegate the duty of conducting a hearing to a
panel of at least three members. The hearing shall be conducted informally
and in private; only the members of the committee, the faculty member, the
officer of administration who made the decision, and such witnesses as may
be called shall attend except that the faculty member and the officer of
administration may each be assisted or, in their absence, represented by a
spokesman designated in writing so to act. Committee members who hold
appointments in the faculty member's department or school or who will
testify as witnesses, or who have any other conflict of interest are
disqualified. Upon request of the faculty member, and with approval of the
chairman of the committee, a transcript of the proceedings shall be made and
provided to the faculty member. The committee may consider only such
evidence as is presented at the hearing, and need consider only that offered
which it considers fair and reliable. All witnesses may be questioned by
members of the committee, the faculty member, and the officer of
administration or the respective spokesmen of the faculty member and the
officer of administration. Except as herein provided, the conduct of the
hearing is under the control of the committee chairman or the member
designated by the chairman for this purpose. [Amended 6/20/80]
e. Hearing procedure
The hearing shall begin with the faculty member's presentation of
contentions, limited to those grounds specified in the request for hearing
and supported by such proof as he or she desires to offer. When he or she
has concluded this presentation, the hearing committee shall recess to
consider whether the proof offered in support of the contention establishes
the contention unless it be now rebutted or unless the decision not to
reappoint be now otherwise explained. If it determines that the contention
has not been so established, it shall so notify the parties to the hearing
and thereupon terminate the proceedings. Such termination is not subject to
review, except as provided in Section 8. If it determines that rebuttal or
explanation is desirable, it shall so notify the parties and the hearing
shall proceed. The officer of administration may then present in rebuttal of
the faculty member's contentions, or in general support of the decision not
to reappoint, such testimonial or documentary proofs as he or she desires to
offer, including his or her own testimony. [Amended 6/20/80]
At the end of such presentation, the hearing committee shall consider the
matter in executive session. The burden is upon the aggrieved faculty member
to satisfy the committee by clear, cogent, and convincing evidence that his
or her contention is true. [Amended 6/20/80]
f. Procedure after hearing
Effective through December 31, 2003. If the hearing committee
determines that the contention of the faculty member has not been
established, it shall, by a simple unelaborated statement, so notify him or
her and the officer of administration. Such a determination is not subject
to review, except as provided in Section 8. If the hearing committee
determines that the contention of the faculty member has been satisfactorily
established, it shall so notify him or her and the officer of administration
by a written notice that shall also include a recommendation for corrective
action by the officer of administration. [Amended 6/20/80]
Effective January 1, 2004. If the hearing committee determines
that the contention of the faculty member has not been established, it shall
make a recommendation to the Chancellor to uphold the decision not to
reappoint. The Chancellor shall make a determination and, by a simple
unelaborated statement, so notify the faculty member and the officer of
administration. Such a determination is not subject to review, except as
provided in Section 9. If the hearing committee determines that the
contention of the faculty member has been satisfactorily established, it
shall so notify him or her and the officer of administration by a written
notice that shall also include a recommendation for corrective action by the
officer of administration. [Amended 6/20/80; 1/1/04]
Within five days after receiving the recommendation, the officer of
administration shall notify the faculty member and the chairman of the
hearing committee what modification, if any, he or she will make with
respect to the original decision not to reappoint.
If the officer of administration fails to make a recommended modification
in the original decision, the hearing committee may submit a report to the
Chancellor containing the committee's findings and recommendation and what
it considers to be appropriate action by the Chancellor to resolve the
matter satisfactorily. If the officer of administration who made the
decision is the Chancellor, the report may be submitted to the Board of
Trustees.
Section 5. Retirement Policy for Members of the Faculty
a. Except as hereinafter provided, each member of the faculty may retire
in accordance with the provisions of Chapter 135, Article 1, of the General
Statutes of North Carolina (Retirement System for Teachers and State
Employees).
b. Each member of the faculty who has permanent tenure and who reaches
his or her seventieth birthday on and after January 1, 1987, and before
January 1, 1994, shall automatically be retired from University employment
(without notice) -on July 1 coincident with or next following his or her
seventieth birthday, unless he or she is continued in employment pursuant to
the provisions of subsection c. of this Section 5.
c. A faculty member who has permanent tenure and who reaches his or her
seventieth birthday on or after January 1, 1987, but before January 1, 1994,
may be continued in employment past the retirement date specified in
subsection b. only when exceptional circumstances are such that the
University would suffer adverse effects if the individual's service were not
to be continued, and only where the salary of the individual is fully funded
from sources other than continuing State budget funds. Continuation in
employment may be authorized only in increments not exceeding one year and
only for a maximum of halftime service. Such continuation in employment
shall not extend beyond July 1 coincident with or next following the
employee's seventy-second birthday. Any continuation in employment must be
in accordance with the following procedure.
- Each proposed
appointment to continue employment beyond the retirement date specified in
subsection b. shall be initiated by recommendation of the chairman or dean
of the department or school concerned after consultation with the faculty
member. The recommendation shall present evidence that the faculty member
is capable of continuing to perform at a high level, shall set forth in
detail the exceptional circumstances that justify the recommendation, and
shall indicate the source(s) of funding for the proposed salary. [Amended
6/11/82]
- The recommendation of
the chairman for continuation shall be reviewed through the administrative
channels prescribed for the review of recommendations for other fixed-term
faculty appointments.
- No later than 12 months
prior to the retirement date specified in subsection b., and no later than
6 months following the start of any subsequent term of employment, the
faculty member shall be notified in writing by his or her chairman if his
or her continuation is not to be effected, or by the Chancellor that his
or her continuation has been approved. Failure to give notice as herein
required is not a basis for continuing employment.
- If the faculty member's
department chairman determines that the continuation of employment should
not be effected, he or she shall so notify the faculty member in writing.
For his or her information, a copy of the notice given the faculty member
shall be sent to the chairman's immediate supervisor.
The faculty member may request a review of the
chairman's determination by the chairman's immediate supervisor. This
request must be in writing and may set forth any exceptional circumstances
relating to adverse effects upon the University to be expected should the
faculty member not be continued which the faculty member considers relevant
to the determination. The supervisor may concur with the chairman's
determination, in which case his or her concurrence is a final
determination, or he or she may determine that the matter should be reviewed
through the normal channels to final review by the Chancellor. In the latter
case, he or she shall so notify the faculty member's chairman, who shall
thereupon put the matter forward into the regular administrative review
channels. Concurrence wit) the chairman's determination at any level of
administrative review is a final determination, and review thereupon
terminates at that level. If there is concurrence at all levels of
administrative review that the chairman's determination should be reversed,
the faculty member is thereupon continued in employment for the succeeding
year in accordance with the regular conditions of year-to-year continued
employment.
Section 6. Termination of Faculty Employment for Reasons of Financial
Exigency or Program Change
a. Definitions
Within this Section 6 the following terms have the meanings indicated:
1.
“Termination” means the termination of employment of a faculty member during
the course of a tenured, probationary, or fixed term appointment for reasons
of financial exigency or program change.
2.
“Financial exigency” means a significant decline in the financial resources
of the University that is brought about by decline in institutional
enrollment or by other action or events that compel a reduction in its
current operations budget.
3. “Program
change” means elimination or major curtailment of a teaching, research, or
public service program.
4. “Faculty
committee” or “committee” means a committee to be constituted by the faculty
of the University which shall consist of not fewer than twelve members of
the faculty holding tenured or probationary appointments when elected by the
faculty on a basis broadly representative of the various divisions and
sub-units of the University, and which is empowered hereby to discharge the
functions prescribed for it in this Section 6. [Amended 9/9/00]
b. General grounds for termination
Termination of faculty employment may be effected because of (i)
demonstrable, bona fide financial exigency, or (ii) program change for
demonstrable, bona fide institutional reasons, on the basis of a decision by
the Chancellor, concurred in by the President and approved by the Board of
Governors, that for either cause the University's contractual obligation to
one or more faculty members cannot be further met. Such a decision by the
Chancellor may be made, and any resulting termination effected, only in
accordance with the procedure provided in this Section 6.
c. Chancellor's preliminary determination and statement
If it should appear to the Chancellor that a state of financial exigency
exists or is imminent, or a program change has occurred or should seriously
be considered, and that termination of the employment of one or more faculty
members may be a required consequence of either circumstance, he or she
shall forthwith prepare a statement which identities with reasonable
particularity the state of financial exigency or the program change, and
which outlines in terms as specific as the circumstances permit the options
for institutional response readily apparent to the Chancellor at the time,
including any options which would or might involve terminations of faculty
employment. This statement shall be transmitted forthwith to the faculty
committee, with request for its action in accordance with the provisions of
subsection d. hereof. Simultaneously, a summary of the statement shall be
published by any means reasonably calculated to bring it to the attention of
all members of the faculty in residence, together with a statement that the
subject has been referred to the faculty committee for action. Pending
committee action, the Chancellor shall undertake, either directly or by
delegate, to obtain advice and recommendations in respect of the matters
addressed in the statement from all those officers of administration whose
units might reasonably be expected to be affected by the adoption of any
identified option involving terminations.
d. Committee action
Acting in accordance with procedures which may be prescribed for it by
the faculty, the committee shall address the matters identified in the
Chancellor's statement with a view to giving its advice and recommendations
thereon to the Chancellor. In this function the committee acts as
representative of the interests of the faculty at large in both its
individual concerns and its concerns for the educational program of the
University. The committee may obtain further information reasonably
available to the Chancellor and any clarifications of the situation by the
Chancellor which are reasonably possible in the light of information then
available. Not later than 30 calendar days after receipt of the statement,
the committee shall submit to the Chancellor its written report. The report
shall contain advice and recommendations addressed to the precise
circumstance and optional responses identified in the Chancellor's statement
and may suggest other responses or courses of action for consideration or
adoption by the Chancellor. The report may be accompanied by any
communications and other data considered by the committee.
e. Chancellor's decision
Within 20 days after receipt of the report, and having due regard for the
advice and recommendations received from the committee and from the officers
of administration, the Chancellor shall determine whether any option
involving terminations must be retained as a possible institutional
response. If he or she determines that it is not necessary, in view of other
available options, to give further consideration to any option involving
terminations, he or she shall so notify the committee and the faculty. If he
or she determines that, on the basis of all information then available, it
will be necessary to take action which will or reasonably might involve
terminations, he or she shall request concurrence in that decision by the
President and approval by the Board of Governors to take such action, and
shall notify the committee and the faculty of this decision.
f. Chancellor's proposal for action following Board of Governors'
approval of terminations
Within 20 days after receipt of notice of approval of his or her request
by the Board of Governors, if the Chancellor still considers that action
involving terminations is or may be required, he or she shall transmit to
the faculty committee a statement which (i) designates the particular
departments in which terminations are to be effected and the factors which
are to be used by each of the designated departments in determining the
number, and (ii) suggests the criteria to be used by the designated
departments in selecting individual faculty members for termination of
employment. Simultaneously, the Chancellor shall publish by any means
reasonably calculated to bring it to the attention of all members of the
faculty in residence a notice that a proposed course of action involving
terminations of faculty employment has been referred to the faculty
committee for action.
g. Committee action
Acting in accordance with procedures which may be prescribed for it by
the faculty, the committee shall address the proposal contained in the
Chancellor's statement with a view to giving its advice and recommendations
thereon. Not later than 20 days after receipt of the statement, the
committee shall submit to the Chancellor its written report containing
advice and recommendations addressed to the proposed course of action and to
the criteria for determining individual faculty members for terminations of
employment. It may concur in whole or in part, suggest other courses of
action for consideration, or advise modifications in the proposed course of
action or in the criteria for individual faculty member selection.
h. Chancellor's action following committee report
If following receipt of the committee's report, and having due regard for
its contents, the Chancellor still considers that action involving
terminations is required, he or she shall not later than 20 days after
receipt of the report so notify the committee, the chief officers of
administration in the affected departments, and, by general notice, the
faculty of the University. The notice to the committee and to the officers
of administration shall prescribe the specific action required of each
department and the criteria to be used by each in initiating termination
procedures for individual faculty members. The criteria specified by the
Chancellor shall include as the primary consideration the maintenance of a
sound and balanced educational program that is consistent with the functions
and responsibilities of the University, and shall also include tenure
status, length of service in the University, and any other factors deemed
relevant by the Chancellor. No final action affecting departments not
previously designated for terminations shall be directed until the modified
proposal shall have been re-referred to the faculty committee for its
response as in the case of the original referral.
i. Individual terminations
Within 60 calendar days after receipt of notice from the Chancellor that
terminations are to be effected within a department, the chairman of the
department, after consultation with the assembled full professors of the
department and after taking such other procedures as may have been provided
by the faculty of the University, shall initiate the required terminations
by recommendations with respect to particular faculty members. These
recommendations shall then be reviewed in accordance with the administrative
procedures within the institution for reviewing appointments to the
respective ranks held by the particular faculty members.
j. Notice to individual faculty members
- Contents. Upon
approval by the Chancellor of a recommendation for termination of
employment, the faculty member shall be notified in writing of the
termination. The notice shall include a statement of the conditions
requiring termination of employment, a general description of the
procedures followed in making the decision, and a disclosure of
pertinent financial or other data upon which the decision was based.
- Timeliness.
When termination is based upon program change unrelated to financial
exigency, a faculty member on tenured appointment shall be given not
less than twelve months notice in advance of its effective date, and a
faculty member on probationary or fixed term appointment shall be given
not less than 90 calendar days notice during the first year of service,
not less than 180 calendar days notice during the second year of
service, and not less than twelve months notice after two or more years
of continuous service.
When termination is based upon financial exigency, the
University shall make every reasonable effort, consistent with the need to
maintain sound educational programs and within the limit of available
resources, to give the same advance notice as is required for terminations
based upon program change alone.
k. Obligations with respect to reemployment or other employment
For a period of two years after the effective date of a termination
pursuant to the provisions of this Section 6, the University shall not
replace the faculty member without first offering the position to the person
whose employment was terminated. The offer shall be made by registered mail,
return receipt requested, and shall provide a period of 30 calendar days for
acceptance. When requested by the person whose employment has been
terminated, the University shall give reasonable assistance in finding other
employment for him or her.
1. Review of individual terminations
- Request for hearing
Within 20 days after receipt of a notice of
termination, a faculty member may request a review of the action by the
standing committee of the faculty charged with conducting hearings on
discharges of faculty members (under Section 3 hereof). Review may be had
solely to determine whether the decision to terminate was arbitrary or
capricious.
The request for review shall be in writing,
addressed to the chairman of the hearing committee. It shall specify the
grounds upon which it is contended that the decision was arbitrary or
capricious, and shall include a short and plain statement of facts which the
faculty member believes support the contention.
Submission of such a request constitutes on the
part of the faculty member (i) a representation that he or she can support
his or her contention by factual proof, and (ii) an agreement that the
University may offer in rebuttal of his or her contention any relevant data
within its possession.
The hearing committee shall consider the
request and shall grant a hearing if it determines that the request contains
a bona fide contention that the decision to terminate was arbitrary or
capricious, and that the facts suggested, if established, might support the
contention. A decision not to grant the request is not subject to review,
except as provided in Section 8. If the request is granted, a hearing shall
be held within 10 days after receipt of the request, provided that the
faculty member shall be given at least 5 days notice of the hearing.
1Amended 6/20/80]
- Conduct of hearing
The question before the committee shall be
decided by the committee. However, the committee may delegate the duty of
conducting a hearing to a panel of at least three members. The hearing shall
be conducted informally and in private; only the members of the committee,
the faculty member, an officer of administration designated by the
Chancellor, and such witnesses as may be called shall attend, except that
the faculty member and the Chancellor's delegate may each be assisted or, in
their absence, represented by a spokesman designated in writing so to act.
Hearing committee members who hold appointment in the department of the
faculty member, or who will testify as witnesses or who have any other
conflict of interest are disqualified. Upon request of the faculty member,
and with approval of the chairman of the hearing committee, a transcript of
the proceeding shall be made and pro vided to the faculty member. The
hearing committee may consider only such evidence as is presented at the
hearing, and need consider only that offered which it considers fair and
reliable. All witnesses may be questioned by the members of the committee,
the faculty member, and the Chancellor's delegate, or the respective
spokesmen of the faculty member and the Chancellor's delegate. Except as
herein provided, the conduct of the hearing is under the control of the
chairman of the hearings committee or the member designated by the chairman
for this purpose. [Amended 6/20/80]
The hearing shall begin with the faculty
member's presentation of contentions, limited to those grounds specified in
the request for hearing and supported by such proof as he or she desires to
offer. When this presentation is concluded, the hearing committee shall
recess to consider whether the proof offered in support of the contention
establishes the contention unless it be now rebutted. If it determines that
the contention has not been so established, it shall so notify the parties
and conclude the proceedings, which action is not subject to review except
as provided in Section 8. If it determines that rebuttal is desirable, it
shall so notify the parties and the hearing shall proceed. The Chancellor's
delegate may then present, in rebuttal of the faculty member's contention or
in general support of the decision to terminate, such testimonial or
documentary proofs as he or she desires to offer, including his or her own
testimony. [Amended 6/20/80]
At the conclusion of the presentation by the
Chancellor's delegate the hearing committee shall consider the matter in
executive session. The burden is upon the faculty member to satisfy the
committee by clear, cogent, and convincing evidence that his or her
contention is true. [Amended 6/20/80]
- Procedure after
hearing
If the hearing committee determines that the
contention of the faculty member has not been established, it shall, by a
simple unelaborated statement, so notify the faculty member and the
Chancellor. Such a determination is not subject to review, except as
provided in Section 8. If the hearing committee determines that the
contention of the faculty member has been established, it shall so notify
the faculty member and the Chancellor by a written notice which shall also
include a recommendation for corrective action to be taken by the
Chancellor. [Amended 6/20/80]
Section 7. Effectiveness
Except as otherwise provided below, all provisions of these policies and
regulations shall become operative (with respect to all existing as well as
future faculty appointments) on the effective date, which shall be the date
35 calendar days after the day on which these policies and regulations shall
have been approved by the President and the Board of Governors of The
University of North Carolina:
a)
The first two sentences of Section 2.b.(3) shall apply only with
respect to those persons whose initial appointment at the rank of assistant
professor shall be made after the effective date. With respect to any person
who, upon the effective date, is serving under an initial three-year
appointment at the rank of assistant professor, the probationary term of
such appointment shall continue to be three years, the decision as to
whether he or she will be reappointed upon expiration of such term shall be
made and communicated in writing to him or her prior to the end of the
second year of such term, and the remaining provisions of Section 2.b.(3)
shall be applicable.
b)
The provisions of the fifth sentence of the second paragraph of
Section 2.b.(4) shall apply only with respect to persons who, upon the
effective date, shall not have been serving at the rank of instructor for as
long as three years. As to persons who, upon the effective date, shall have
been serving at the rank of instructor for three or more years, the
provisions of said sentence shall have no application; neither requiring
nonreappointment nor insuring reappointment upon expiration of their
then-current or subsequent one-year terms, but leaving this decision to be
made as under the policies and regulations formerly applying.
c)
The provisions of the last sentence of Section 2.b.(4) shall apply
only with respect to cases arising thereunder after the effective date.
d)
All provisions hereof requiring that a department chairman consult
with the assembled full professors of the department shall apply only with
respect to personnel recommendations initiated by the department chairman
after the effective date.
e)
The provisions of the first sentence of Section 2.c.(7) shall apply
only with respect to joint appointments made after the effective date.
f)
The provisions of Section 4 shall apply, not only with respect to
persons to whom notices of nonreappointment shall be given subsequent to the
effective date, but also with respect to persons to whom such notices shall
have been given within the period of 60 calendar days next preceding the
effective date. Instructors, assistant professors, and associate professors
to whom notices of nonreappointment shall have been given within the period
of 60 calendar days next preceding the effective date shall have 20 calendar
days after the effective date within which to initiate the procedures for
review provided in Section 4.
g)
The provisions of Section 5 shall apply with respect to all persons
who, upon the effective date, have attained normal retirement age and are in
continued terms of employment, as well as to those persons who shall attain
normal retirement age after the effective date.
The policies and regulations herein set forth, with the exception of
those contained in Section 6, shall not be applied to alter existing
incidents of academic tenure
to the disadvantage of any person who shall have been a member of the
faculty immediately prior to the effective date.
Section 8. Review by the Board of Trustees
Effective through December 31, 2003. This section shall apply to
review by the Board of Trustees of the following decisions made pursuant to
these policies and regulations:
(1)
A decision by the Chancellor under §3(b)(8) declining to accept a
recommendation of the hearings committee favorable to the faculty member.
(2)
A decision by the Chancellor under §3(b)(8) concurring in a hearings
committee recommendation unfavorable to the faculty member.
(3)
A decision by the hearings committee under §4(c) rejecting a request
for a hearing.
(4)
A decision by the hearings committee under §4(e) terminating a
hearing at the conclusion of the faculty member's proof.
(5)
A decision by the hearings committee under §4(f) determining that the
faculty member has not established his or her contention.
(6)
A decision by the Chancellor under §4(f) declining to take
appropriate action recommended by the hearings committee in connection with
a decision favorable to the faculty member.
(7)
A decision by the hearings committee under §6(1)(1) rejecting a
request for a hearing.
(8)
A decision by the hearings committee under §6(1)(2) terminating a
hearing at the conclusion of the faculty member's proof.
(9)
A decision by the hearings committee under §6(1)(3) determining that
the faculty member has not established his or her contention.
(10)
A decision by the Chancellor under §6(1)(3) declining to take
corrective action recommended by the hearings committee in connection with a
decision favorable to the faculty member.
Requests for review by the Board of Trustees of the decisions enumerated
above shall be transmitted through the Chancellor and addressed to the
Chairman of the Board of Trustees. The request must be filed within ten days
after the date of communication to the faculty member of notice of the
decision sought to be reviewed. The question under review shall be decided
by the Board of Trustees. However, the Board may delegate the duty of
conducting a hearing to a committee of at least three members. The Board of
Trustees, or its committee, will conduct its review on the written
transcript of the hearing, the report of the hearing committee, and the
decision of the Chancellor, but it may, in its discretion, hear such other
evidence as it deems necessary. In all cases, review shall be limited to the
question of whether the Chancellor or the hearings committee, as the case
may be, committed clear and material error in reaching the decision under
review. The Board shall make its decision within 45 calendar days after
receipt of the request for review by the Chairman of the Board. This
decision shall be final, except that the faculty member may, within ten days
after receiving notice of the decision, file a written petition for review
with The Board of Governors alleging with particularity the specific
provisions of The Code of The University of North Carolina which the faculty
member alleges to have been violated by the Board of Trustees in conducting
its review. All such petitions shall be transmitted to The Board of
Governors through the President. [Amended 6/20/80; 1/9/87]
Effective January 1, 2004. This section shall apply to review by
the Board of Trustees of the following decisions made pursuant to these
policies and regulations:
(1)
A decision by the Chancellor under §3(b)(8) declining to accept a
recommendation of the hearings committee favorable to the faculty member.
(2)
A decision by the Chancellor under §3(b)(8) concurring in a hearings
committee recommendation unfavorable to the faculty member.
(3)
A decision by the hearings committee under §6(1)(1) rejecting a
request for a hearing.
(4)
A decision by the hearings committee under §6(1)(2) terminating a
hearing at the conclusion of the faculty member's proof.
(5)
A decision by the hearings committee under §6(1)(3) determining that
the faculty member has not established his or her contention.
(6)
A decision by the Chancellor under §6(1)(3) declining to take
corrective action recommended by the hearings committee in connection with a
decision favorable to the faculty member.
Requests for review by the Board of Trustees of the decisions enumerated
above shall be transmitted through the Chancellor and addressed to the
Chairman of the Board of Trustees. The request must be filed within ten days
after the date of communication to the faculty member of notice of the
decision sought to be reviewed. The question under review shall be decided
by the Board of Trustees. However, the Board may delegate the duty of
conducting a hearing to a committee of at least three members. The Board of
Trustees, or its committee, will conduct its review on the written
transcript of the hearing, the report of the hearing committee, and the
decision of the Chancellor, but it may, in its discretion, hear such other
evidence as it deems necessary. In all cases, review shall be limited to the
question of whether the Chancellor or the hearings committee, as the case
may be, committed clear and material error in reaching the decision under
review. The Board shall make its decision within 45 calendar days after
receipt of the request for review by the Chairman of the Board. This
decision shall be final, except that, with respect to a decision by the
Chancellor under § 3(b)(8) declining to accept a recommendation of the
hearings committee favorable to the faculty member or a decision by the
Chancellor under § 3(b)(8) concurring in a hearings committee recommendation
unfavorable to the faculty member, the faculty member may, within ten days
after receiving notice of the decision, file a written petition for review
with The Board of Governors alleging with particularity the specific
provisions of The Code of The University of North Carolina which the faculty
member alleges to have been violated by the Board of Trustees in conducting
its review. All such petitions shall be transmitted to The Board of
Governors through the President. [Amended 6/20/80; 1/9/87; 1/1/04]
[Note: The 1/1/04 amendment conformed the appellate process to a change
in The Code of Governors providing that appeals of nonreappointment
decisions proceed from the Chancellor directly to the Board of Governors.]
Section 9. Review by the Board of Governors
Effective January 1, 2004. A decision by the
Chancellor not to reappoint a faculty member may be appealed to The Board of
Governors. Requests for review by The Board of Governors shall be made in
accordance with the requirements of The Code of The Board of Governors of
The University of North Carolina Policy Manual. [Added 1/1/04]
A non-faculty employee who is exempt from the State Personnel Act whose
employment is terminated and who alleges that the termination was illegal or
violated a Policy of the Board of Governors may appeal the decision in
accordance with procedures established by the constituent institution. If the
employee is a professional member of the president’s staff, as provided for in
Section 500 A(2) of this Code, then the employee may appeal to the
president. Subject to
limitations contained in the Policies of the Board of Governors, an employee
who alleges that the termination of the employee’s employment was illegal or
in violation of Board of Governors Policy may appeal the final decision of the
constituent institution, or the decision of the president, to terminate the
employment to the Board of Governors.
