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Tenure Policies and RegulationsPOL 05.20.1 April 19, 2002 Archived Version (Effective April 19, 2002 through October 2, 2002)Faculty EmploymentAuthority: Board of Trustees History: First issued: November 27, 1973; Last Revised: October 3, 2002. Additional History Information. Additional References: UNC Code: Section 602(3), Appendix, Section I.C. This policy is adopted pursuant to and in subordination to Chapter Six of the Code of the University of North Carolina (The Code) which is attached as Appendix I. It addresses the procedures by which decisions concerning appointment, reappointment, promotion and the conferral of permanent tenure shall be made, the length of terms of appointment that do not carry permanent tenure and those faculty ranks or titles whose holders shall be eligible for permanent tenure, the intervals at which the review of candidates for reappointment and promotion, including the conferral of permanent tenure shall occur, and the general considerations upon which appointment, reappointment, promotion and permanent tenure are to be recommended. This policy and provisions of Chapter Six of The Code, as amended from time to time, constitute the academic tenure policies and regulations of NC State University. This policy shall be cited in appointment and reappointment letters sent to individual faculty members. 2 FREEDOM AND RESPONSIBILITY IN THE UNIVERSITY COMMUNITY North Carolina State University (hereinafter referred to as the university) incorporates as part of this policy the principles of freedom and responsibility in the university community as set forth in section 600 of The Code. 3 ACADEMIC FREEDOM AND RESPONSIBILITY OF FACULTY The university incorporates as part of this policy the rights and responsibilities of the faculty under the principles of academic freedom as set forth in section 601 of The Code.
Academic tenure applies exclusively to faculty with permanent tenure, faculty on probationary appointments and faculty with fixed term appointments as further defined in section 5. Permanent tenure may be conferred only pursuant to this policy and by action of the president and the Board of Governors of the University of North Carolina, or by such other agencies or officers as may be delegated such authority by the board of governors. Hereinafter, unless otherwise noted, or otherwise required by the context, all references to tenure shall mean permanent tenure, unless otherwise specified. 5 ACADEMIC TENURE IN RELATION TO RANKS Academic tenure pertains to the employment of faculty members by appointment to specified faculty ranks. Such appointments may be for fixed terms of employment, automatically terminable upon their expiration ("fixed term appointments"); or they may be for renewable probationary terms ("probationary term of employment"); or they may be continuous until retirement, resignation or death ("appointment with tenure" or "tenured appointment." The faculty ranks to which appointments may be made and the incidents of academic tenure applicable to each are set forth in this section. Qualifications for academic rank shall be determined by the chancellor upon recommendations from the Faculty Senate and the University Council. These qualifications shall be set forth in regulations issued by the chancellor. Each college and department shall be responsible for the development and publication of qualifications for rank appropriate to the discipline or disciplines included in their units. These qualifications shall be set forth in college rules approved by the provost and departmental rules approved by the dean of each college in which the department is located. Rules must be consistent with regulations issued by the chancellor. 5.1 Regular Faculty Appointments and Ranks Regular faculty appointments are those to which consideration for tenure applies and for which there is an established time frame during which a decision to reappoint or confer tenure must be made, as provided in this sub-section. 5.1.a If exceptional circumstances warrant, this policy shall not preclude promotion to any rank or the conferral of tenure at any time. 5.1.b The chancellor or chancellor’s designee may grant an untenured faculty member with the rank of assistant professor or associate professor an extension of the time period during which the institutional decision must be made regarding reappointment or conferral of tenure. An extension of time may be granted only in documented cases of compelling circumstances which are determined to have the potential to significantly delay the progress of development of the faculty member's program. The normal extension is one year; however, other extensions may be approved in exceptional cases. Approval of an extension must be in writing and will extend the term of the current appointment. A faculty member must request an extension in accordance with procedures established by the chancellor or chancellor’s designee. 5.1.1.a Appointment to the rank of instructor is appropriate for an individual for whom there is the expectation that the individual will be appointed to a professorial rank at this or another institution. An instructor shall be appointed for an initial probationary term of one year and may be reappointed successively to three further probationary one year terms, for a total of four terms[1]. 5.1.1.b Before the end of the instructor's fourth year, excluding years of service as an instructor while an active candidate for a graduate degree, the department head and dean (or equivalent designees), after consultation according to the procedures set forth in section 6.3 of this policy, shall each review the instructor's performance and recommend to the provost either: 1) that the instructor be appointed to an appropriate term as assistant professor in accordance with section 5.1.2 ; 2) that the individual be appointed as special faculty; or 3) that the instructor be offered a terminal appointment of one year. 5.1.2.a Appointment to the rank of assistant professor is the entry-level professorial appointment. An assistant professor shall be appointed for an initial probationary term of four years. 5.1.2.b Before the end of the third year of the initial term, the department head and dean (or equivalent designees), after consultation according to the procedures set forth in section 6.3 of this policy, shall each review the assistant professor's performance and recommend to the provost either: 1) that the assistant professor be reappointed for a second term of three years, or 2) that the assistant professor not be reappointed. 5.1.2.c If the assistant professor is appointed to a second term under section 5.1.2.b(1), then before the end of the second year of that appointment, the department head and dean (or equivalent designees), after consultation according to the procedures set forth in section 6.3 of this policy, shall each review the assistant professor's performance and recommend to the provost either: 1) that the assistant professor be promoted with tenure, or 2) that upon the expiration of the term of appointment the assistant professor not be reappointed. An initial decision not to promote and confer tenure shall not preclude a later recommendation, during the remaining term of the appointment, to promote and confer tenure. 5.1.2.d Except as provided under section 5.1.b, the decision and notification regarding conferral of tenure shall not be postponed beyond the eighth year of service following the start of the assistant professor's first appointment if the initial appointment was at the rank of instructor (excluding years of service as an instructor while an active candidate for a graduate degree). When appointing an assistant professor who was, immediately prior to appointment as assistant professor appointed as an instructor, the term of appointment as assistant professor and timing for consideration for tenure and promotion shall be adjusted to meet this requirement. 5.1.3.a An associate professor promoted to that rank by the university shall have tenure. 5.1.3.b An associate professor coming to that rank from outside the university may either be appointed with tenure or for an initial probationary term of no more than five years. In the event of a term appointment, before the end of the next-to-last year of the appointment, the department head and dean or equivalent designees, after consultation according to the procedures set forth in section 6.3, shall each review the associate professor's performance and recommend to the provost either: 1) that the associate professor be reappointed with tenure at the same or higher rank, or 2) that upon the expiration of the term of appointment the associate professor not be reappointed. An initial decision not to confer tenure shall not preclude a later recommendation, during the remaining term of the appointment, to confer tenure. A professor shall have tenure. 5.2 Special Faculty Appointments The university may designate special faculty appointments in accordance with section 604 C of The Code. Such appointments are appropriate for individuals who possess unusual qualifications for teaching, research, academic administration, or public service from an academic base, but for whom none of the regular faculty ranks is appropriate because of the limited duration of the mission for which the individual is appointed, or because of concern for continued availability of special funding for the position, or for other valid institutional reasons. Such appointments are fixed term appointments and are not eligible for tenure consideration or conferral of tenure[2]. A special faculty appointment has the protection of academic tenure only during the fixed term of appointment. 5.2.1 Appointment to a rank specified in section 5.1 which is prefixed by a modifier, including but not limited to adjunct, research, clinical, or extension, is a special faculty appointment. 5.2.2 Appointment to the rank of librarian or lecturer is a special faculty appointment. The qualifications of a person appointed to a special faculty appointment with a rank of "librarian" or "lecturer" shall be no less than those for the rank of instructor and will be considered equivalent to the rank of instructor. 5.3 Academic Appointments for Federal Personnel Personnel who are employed by the United States Department of Agriculture, the United States Forest Service, or similar federal agencies and who are located at the university and work under the supervision of the university's academic administration may be granted academic rank. The criteria for appointment shall not be less than those for various academic ranks. However, these appointments are not eligible for tenure, and these persons are not eligible for the insurance and retirement benefits available to faculty members who are employed by the university. 5.4 Appointments Supported by Non-continuing Funds 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, whether for a specified term or with tenure, shall be contingent upon the continuing availability of such funds. This contingency shall not apply in either of the following situations: 5.4.1 In a promotion to a higher rank if, before the effective date of that promotion, the faculty member had tenure and no such condition was attached. 5.4.2 If the faculty member held tenure in the institution on July 1, 1975 and the appointment was not then contingent upon the continuing availability of sources other than continuing state budget or permanent trust funds. 5.4.3 The federal funds provided to the North Carolina Agriculture Research Service through the Hatch Act and the McIntire-Stennis Act, and to the North Carolina Cooperative Extension Service through the Smith-Lever Act shall be considered as permanent trust funds, and faculty who are funded in whole or in substantial part from these sources shall not be subject to the contingency provisions of this section. The chancellor or chancellor's designee shall have approval authority for faculty appointments, reappointments, promotions, and conferrals of tenure, consistent with Board of Trustees' Policies 1.03 and 4.02 and subject to further approvals as required by section 602(5) of The Code. 6 PROCEDURES FOR APPOINTMENT, REAPPOINTMENT, PROMOTION, AND CONFERRAL OF TENURE The general considerations upon which appointment, reappointment, promotion, and conferral of tenure are to be recommended include an assessment of at least the following: 1) demonstrated professional competence, The individual’s contributions to the teaching, research, and public service missions of the university shall be considered in a manner that is appropriate to each individual appointment, and recommendations shall be consistent with the needs and resources of the university. Each initial appointment, each promotion and each reappointment, including those that involve tenure consideration are initiated by the department head based upon documentation prepared in accordance with university guidelines established by the provost. Documentation shall be assembled by the department head in cases of appointments and by the candidate in consultation with the department head in cases of reappointments, promotions, and conferrals of tenure. Decisions for appointment, reappointment, promotion, and conferral of tenure are dependent on substantive consultation with tenured faculty, by department heads and deans who are responsible for the reviews that inform these decisions. 6.3.1 Departmental Consultation - In General It is the responsibility of the departmental voting faculty to participate in this consultation at the departmental level. The departmental voting faculty shall have full access to the documentation prepared for each candidate and the opportunity and responsibility to meet as a group with the department head to consider the matter confidentially. In each case other than initial appointment, the departmental voting faculty shall provide a written assessment. In each case of reappointment, promotion and/or conferral of tenure, a vote shall be taken either by secret ballot or open ballot, with the method of voting to be decided by a majority vote of the departmental voting faculty. Faculty members who cannot attend the meeting shall be permitted to vote in accordance with regulations approved by the chancellor or chancellor’s designee. Except as provided in 6.3.1.a and 6 3.1.b, the departmental consultative group is as set forth in sections 6.3.2, and 6.3.3. 6.3.1.a If the number of departmental voting faculty members is fewer than three, the department head, in consultation with the existing departmental voting faculty, the individual being reviewed, and appropriate other department heads, shall request of the dean appointment of faculty members from allied departments in such number as to provide a group of three members to serve as the departmental voting faculty for the case. 6.3.1.b In the case of an appointment in which the area of work of the appointee is substantively interdisciplinary, the dean may, in consultation with the appointee and with appropriate other deans and department heads, and with the approval of the provost, appoint an individual and a committee of faculty other than the departmental voting faculty who shall function in the capacities of the department head and the departmental voting faculty, respectively, in carrying out these procedures. 6.3.2 Departmental Consideration of Initial
Appointments, Reappointments, and Promotions for Professorial Ranks other than
The department head or designee shall consult with the departmental voting faculty in arriving at recommendations for: 1) initial appointment at the rank of assistant professor and associate professor, 2) reappointment as assistant professor, 3) promotion to associate professor with tenure, and 4) conferral of tenure for untenured associate professors. The departmental voting faculty shall consist of all faculty who hold the rank of professor and all faculty who hold the rank of associate professor with tenure. However, in cases of initial appointments or reappointments at the rank of instructor and for all special faculty appointments, the department head or designee need only consult with at least three members of the departmental voting faculty in arriving at recommendations. 6.3.3 Departmental Consideration of Initial Appointments and Promotions to Rank of Professor The department head or designee shall consult with the departmental voting faculty in arriving at recommendations for promotion to, and appointments at, the rank of professor. The departmental voting faculty shall consist of faculty who hold the rank of professor in the department. In the case of reappointment, promotion, and conferral of tenure for an appointed faculty member, the dean prior to making a recommendation to the provost shall consult with a duly constituted college reappointment, promotion, and tenure committee, appointed and charged by the dean in accordance with college rules approved by the provost. The committee shall have full access to the documentation and an opportunity to confidentially discuss the case among themselves and shall provide a written assessment. A vote shall be taken either by secret ballot or open ballot, with the method of voting to be decided by a majority vote of the group. A university reappointment, promotion, and tenure committee appointed by the provost in consultation with the chair of the faculty, shall advise the provost in matters relating to the policy and processes involved in reappointment, promotion, and tenure review. The committee may confidentially examine all cases in the context of its process review. The provost may consult the committee on individual cases, and in such cases the committee shall provide a written assessment. Unless requested by the provost, however, the committee does not advise on specific cases. 6.4.1 Recommendation of Department Head In the case of an initial appointment at any rank and tenure status, the department head shall make a recommendation to the dean or equivalent academic officer and report the vote of the departmental voting faculty as required by section 6.3.1. In the case of a reappointment, promotion, or conferral of tenure for an appointed faculty member, the department head shall provide to the dean or equivalent academic officer the written assessment and vote of the departmental voting faculty, a written recommendation by the department head, and any written response provided by the faculty member in accordance with section 6.4.4. In the case of an initial appointment at any rank and tenure status, the dean shall make a recommendation to the provost and provide with it the recommendation of the department head. In the case of reappointment, promotion, and conferral of tenure for an appointed faculty member, the dean shall provide to the provost the written assessments, votes, and written recommendations provided from the department along with a written assessment by the college reappointment, promotion, and tenure committee, a written recommendation by the dean, and any responses provided by the faculty member in accordance with section 6.4.4. 6.4.3 Recommendation of Provost In the case of an initial appointment at any rank, reappointment, promotion, and conferral of tenure, the provost shall make a recommendation to the chancellor. In the case of reappointment, promotion, and conferral of tenure for an appointed faculty member, the provost and the chancellor may consult appropriate university-level academic officers in making the final determination in response to recommendations. When advice is requested of the university reappointment, promotion, and tenure committee on any specific case, that written assessment along with any response from the faculty member (in accordance with section 6.4.4) shall be considered in making the final determination. 6.4.4 Opportunity for Faculty Response to Written Assessments and Recommendations In accordance with regulations issued by the chancellor or chancellor’s designee, a faculty member shall be given an opportunity to provide a written response to departmental and college assessments and recommendations, as well as any written assessment provided upon the provost’s request by the university reappointment, promotion, and tenure committee. These responses shall become part of the documentation of the review. The terms and conditions of each faculty appointment or reappointment shall be stated in a letter from the chancellor or chancellor's designee(s) to the faculty member. The letter shall provide specification of the beginning and ending dates of the appointment or reappointment and any limitation of tenure due to source of funds consistent with section 5.4. For regular faculty, as defined in section 5.1, notice of reappointment or non-reappointment shall be in accordance with the notice requirements of section 604 A of The UNC Code. Failure to give timely notice of non-reappointment will oblige the chancellor or chancellor's designee(s) thereafter to offer a terminal appointment of one academic year. Notice of non-reappointment shall be given in a letter from the chancellor or chancellor's designee(s) containing the decision not to reappoint. For special faculty, as defined in section 5.2, the specification of the beginning and ending dates of appointment provided in the letter of appointment shall constitute full and timely notice of non-reappointment when that term expires. A faculty member who intends to resign from employment has the obligation to give timely written notice of that intention to the head of the department in which the faculty member is appointed. 6.5.4 Appeals on Non-reappointment Decisions A probationary faculty member who is notified of a terminal appointment or a non-reappointment, pursuant to section 5.1.2 or 5.1.3 shall be granted, upon request, an interview with the department head to discuss the decision. The faculty member shall also, upon request, be granted a subsequent interview with the dean to discuss the decision. The faculty member has the right to have the case reviewed under the Faculty Grievance Procedures, if the faculty member, after these interviews, concludes that the decision not to reappoint was based upon the faculty member's exercise of rights guaranteed by either the First Amendment to the United States Constitution or Article I of the North Carolina Constitution; discrimination based upon the faculty member's race, sex, religion, national origin, age, or disability; or personal malice. This review shall be limited solely to determining whether the decision not to reappoint was based upon any of the aforementioned grounds. 6.5.5 Periodic Performance Reviews There shall be regular reviews of individual faculty performance conducted by academic administration with peer involvement where appropriate. These reviews shall be conducted pursuant to regulations issued by the chancellor or chancellor’s designee and shall include annual reviews of all faculty and periodic comprehensive reviews of tenured faculty. 7 DUE PROCESS BEFORE DISCHARGE OR IMPOSITION OF SERIOUS SANCTIONS During any fixed or probationary appointment or tenured appointment, a faculty member may be discharged or subject to the imposition serious sanctions in accordance with the procedures prescribed in section 603 of the UNC Code. Serious sanctions may include suspension or demotion in academic rank. 7.1 Regulations issued by the chancellor or chancellor’s designee shall address the composition and appointment of a hearing committee. 7.2 Discharge or imposition of serious sanctions may be based only upon: 1) incompetence, 8 TERMINATION OF FACULTY EMPLOYMENT 8.1 Termination of faculty employment shall occur only because of 1) a demonstrable, bona fide institutional financial exigency, or 2) the major curtailment or elimination of a teaching, research, or public service program in accordance with the provisions of section 605 of The Code. 8.2 Financial exigency is defined as a significant decline in the financial resources of the institution that is brought about by decline in institutional enrollment or by other action or events that compel a reduction in the institution's current operations budget. The determination of whether a condition of financial exigency exists or whether there shall be a major curtailment or elimination of a teaching, research, or public service program shall be made by the chancellor, after consulting with the faculties of the departments or other units that might be affected, the academic administrative officers, the faculty senate, and the board of trustees. In this or any subsequent consultation process, a faculty appointment may be terminated only after it is determined by the chancellor, following careful review of alternatives, that the condition of financial exigency cannot be alleviated by less drastic means. The determination of financial exigency or a major curtailment or elimination of a teaching, research, or public service program is subject to concurrence by the president and approval by the board of governors. 8.3 If there must be termination of faculty appointments, the chancellor shall give consideration to tenure status, years of service at the university, and other factors deemed relevant in determining whose employment is to be terminated. The primary consideration, however, shall be the maintenance of a sound and balanced educational program that is consistent with the functions and responsibilities of the university. 8.4 A faculty member whose employment is to be terminated shall be notified of this fact in writing. This notice shall include a statement of the conditions requiring termination of employment, a disclosure of pertinent financial or other data upon which the termination decision was based, and a general description of the procedures followed in making that decision. 8.5 If a faculty member whose employment is to be terminated alleges that the decision to terminate was arbitrary or capricious, a hearing committee of the Faculty Hearings Panel shall afford the faculty member a fair hearing, according to the procedures of section 603 of The Code. This hearing shall be limited to the question of whether the decision to terminate was arbitrary or capricious. The chancellor's final decision may be appealed in the manner provided for by section 501 C (4) of The Code. 8.6 The university, when requested by a faculty member whose employment has been terminated, shall give reasonable assistance in finding other employment. For a period of two years after the effective date of termination the university shall not replace the faculty member without first offering the position to the person whose employment was terminated Retirement, in accordance with North Carolina Statutes (Chapter 135), may be entered by the individual upon completion of an appropriate term of service or by reason of medical disability. Tenure ceases on the effective date of retirement or resignation. 9.2.1.a If a faculty member who is a member of Teachers' and State Employees' Retirement System or the Optional Retirement Program (G.S. Ch. 135) applies for disability retirement and/or disability benefits, the member's retirement from the university shall not become effective until notification of approval has been received. If the retirement benefits are denied, the faculty member may elect to resign or continue in service. Voluntary retirement or resignation does not prevent a department from recommending that a faculty member be rehired with tenure, if appropriate, if the faculty member has recovered from a disability or no longer qualifies for disability benefits. 9.2.1.b An application for disability retirement and/or disability benefits may not be used against the faculty member as evidence of, or as an admission of, medical disability in discharge proceedings If, during discharge proceedings in accordance with section 7 of this policy, the faculty member claims that the alleged basis for the discharge may have resulted from a medical disability that qualifies the faculty member for disability retirement and/or disability benefits under the Teachers and State Employees' Retirement System or the Optional Retirement Program, then the faculty member may elect at any time during the discharge proceedings to resign from service with the understanding that all provisions of voluntary retirement in section 9.2.1.a apply. Upon the request of the faculty member and approval of the chancellor or chancellor’s designee, the discharge proceedings may be suspended temporarily to allow time for the determination of qualification for disability retirement and/or disability benefits and a voluntary retirement as outlined in section 9.1.2.a. [1]Academic and fiscal year appointments are made under this policy. All references to year throughout this policy refer to either an academic or fiscal year appointment depending upon the nature of the individual's appointment or reappointment. [2]Persons appointed prior to the adoption of this provision to research or extension academic positions and who were eligible for tenure consideration at the time of their appointment remain eligible for tenure consideration and conferral of tenure. |
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