FACULTY MANUAL
Prepared for the Faculty
(Current as
of 6-11-09)
TABLE OF CONTENTS
Part I Introduction
Part II University Organization
The Organization of the
Purpose, Objectives, and Strategic Plan
of
University Policy
Academic Policy
Administrative Policy
Guidelines for Organizing into Code
Units
Part III Academic Freedom (formerly Appendix E)
Part IV Academic Integrity (formerly
Appendix N)
Part V Academic Information
Academic Procedures and Policies
Academic Facilities
Curriculum Development
Part VI General Personnel Policies
Employment Policies
Welfare and Benefits
Institutional Services
Employment of Related Persons
(formerly Appendix H)
External Professional Activities of
Faculty and Other Professional Staff (formerly Appendix Q)
Equal Employment
Opportunity/Affirmative Action Policy (formerly
Appendix
K)
Other Personnel Policies
Frequently Asked Questions about
Faculty Personnel Records
Part VII Research Information
Policy and Guidelines for External
Funding (formerly Appendix O)
Patent (formerly Appendix P)
Copyright Policy
Principles and Policy for the
Protection of Human Subjects of
Research
(formerly Appendix R)
Animal Care and Use in Research and
Instruction (formerly
Appendix
S)
Policy and Procedures on Ethics in
Research and Creative
Activities
(formerly Appendix U)
Policy on the Custody, Retention,
Transfer and Access to Research
Data
and Records
Part VIII Responsibilities of Administrative
Officers
Board of Trustees
Chancellor
Executive
Assistant to the Chancellor
Assistant
to the Chancellor for Constituent Relations
University
Attorney
Equal Employment
Director of Athletics
Director of Planning and Institutional
Research
Division of Academic Affairs
Division of Business Affairs
Division of Health Sciences
Division of Institutional
Advancement
Division of Student Life
Part IX Organization Chart for
(formerly Appendix G)
Part X Charter of the
(formerly Appendix B)
Part XI The CODE, The Board of Governors of
The
Part XII Personnel Action Dossier
Appendix A Faculty Constitution and By-Laws of
Appendix B Policy for the Cumulative Review of
Permanently Tenured Faculty
Appendix C Personnel Policies and Procedures for the Faculty of
Appendix D Tenure and Promotion Policies and Procedures of
Appendix F
Appendix I
Commitment
Appendix J Informal Faculty Grievance Procedure for Grievances Involving
Sex
Discrimination and Other Equal
Employment
Complaints
Appendix L
Appendix U Policy on Improper Relationships Between
Students and Faculty
Appendix V Sexual Harassment, Discrimination, and
Conflicts of Interest
Policies
Appendix W Racial and Ethnic Harassment Policies
Appendix X Grievance Procedures for Complaints of Sexual or Racial
Harassment or Discrimination or
Conflicts of Interest Brought
Against
Administrators Holding Faculty
Status
Appendix Y Grievance Policies and Procedures of
Renamed Appendices
Appendix B Renamed
Part X
Appendix E Renamed
Part III
Appendix G Renamed
Part IX
Appendix H Renamed
Part VI
Appendix K Renamed
Part VI
Appendix M Renamed
Part XI
Appendix N Renamed
Part IV
Appendix O Renamed
Part VII
Appendix P Renamed
Part VII
Appendix Q Renamed
Part VI
Appendix R Renamed
Part VII
Appendix S Renamed
Part VII
Appendix T Renamed
Part VI
PART I
INTRODUCTION
This manual
has been designed to provide faculty members and administrators with a ready
reference to established policies and procedures at
Requests
for interpretation of the ECU Faculty Manual will be submitted to the Chair of
the Faculty or the Vice Chancellor for Academic Affairs. The Chair of the Faculty and the Vice
Chancellor for Academic Affairs will provide a joint conditional
interpretation. In matters pertaining to
their purview, the Vice Chancellor for Academic Affairs will consult with the
Vice Chancellor for Health Sciences or the Vice Chancellor for Research. This conditional interpretation will be in
effect until a permanent interpretation is adopted through normal procedures. The office of the
an index of
such interpretations, identified in the appropriate section of the ECU Faculty
Manual. (http://www.ecu.edu/fsonline/interpretations.htm). (
PART II
UNIVERSITY
ORGANIZATION
CONTENTS
I. The Organization of the
II. Vision,
III. University Policy
IV. Academic Policy
V. Administrative Policy
VI. Guidelines for Organizing into Code
Units
I.
The Organization of the
In
The
In 1877, the NC General Assembly began sponsoring additional
institutions of higher education, diverse in origin and purpose. Five were
historically black institutions, and another was founded to educate American
Indians. Several were created to prepare teachers for the public schools.
Others had a technological emphasis. One is a training school for performing
artists.
In 1931, the NC General Assembly redefined The University of
North Carolina to include three state-supported institutions: the campus at
Chapel Hill (now the University of North Carolina at Chapel Hill), North
Carolina State College (now North Carolina State University at Raleigh), and
Woman's College (now the University of North Carolina at Greensboro). The new
multi-campus University operated with one board of trustees and one president.
By 1969, three additional campuses had joined the University through
legislative action: the
In 1971, the General Assembly passed legislation bringing
into The University of North Carolina the state's ten remaining public senior
institutions, each of which had until then been legally separate: Appalachian
State University, East Carolina University, Elizabeth City State University,
Fayetteville State University, North Carolina Agricultural and Technical State
University, North Carolina Central University, The North Carolina School of the
Arts, Pembroke State University, Western Carolina University, and Winston-Salem
State University. This action created the current sixteen-
The University of North Carolina Board of Governors is the
policy-making body legally charged with the general determination, control,
supervision, management, and governance of all affairs of the constituent institutions. It elects the president, who administers The
University. The thirty-two voting members of the board of governors are elected
by the General Assembly for four-year terms. Former board chairs and board members
who are former governors of
Each of the sixteen constituent institutions is headed by a
chancellor, who is chosen by the board of governors on the president's
nomination and is responsible to the president. Each institution has a board of
trustees, consisting of eight members elected by the board of governors, four
appointed by the governor, and the president of the student body, who serves
ex-officio. (The NC School of the Arts has two additional ex-officio members.)
Each board of trustees holds extensive powers over academic and other
operations of its institution on delegation from the board of governors.
II.
Vision,
A. Vision
B.
The university mission statements express the purpose and
character of the university. The statements are the basis for all university
strategic planning. They guide the actions of the university and direct the development
of evaluation criteria.
To
Serve Through Education
The educational mission of
To
Serve Through Research and Creative Activity
The research mission of
To
Serve Through Leadership and Partnership
The service mission of
C. Strategic Planning
Goals for 2000-2005
·
Expand
the educational opportunities provided on and off campus by 20 percent.
·
Enrich
the learning environment for students.
·
Increase
the productivity of faculty, staff, and students in research and creative
activity.
·
Extend
external leadership and partnership roles in eastern
·
Be
a leader in the development and application of information technology in higher
education.
·
Improve
the quality and efficiency of its services and operations.
Faculty are
encouraged to review the University’s long range goals and objectives by
reading Strategies for Distinction,
University Directions 2000-2005, available through the office of Planning
and Institutional Research.
The chancellor, as the administrative and executive head of
IV.
Academic Policy
The
The faculty organization of
The Administrative Board of the
V.
Administrative Policy
Administrative policy, as distinct from academic policy, is
determined by the chancellor in consultation with other administrative
officers. Administrative committees are appointed by the chancellor and report
to the chancellor or to his or her designee. They consist of committees,
councils, and boards not responsible to the
The following are the current administrative committees:
Academic Integrity Board (Student Life)
Administrative Computing
Advisory Committee on Codes
Affirmative Action Review and Advisory Committee
Animal Care and Use Committee
Athletic Committee
Biological Safety Committee
Citation Appeals Board
Commencement Committee
Committee on Canvassing and Soliciting
Committee on Copyright
Environmental Safety Committee
Faculty and Staff Benefits Committee
Family Weekend Committee
Health Professions Advising Committee
Homecoming Steering Committee
Honorary Degrees, Awards, and Distinctions Committee (Board
of Trustees)
Infection Control Committee
Information Resources Coordinating Council
Living History Committee
Natural Areas Committee
Parking and Transportation Committee
Patent and Intellectual Property Committee
Radiation Safety Committee
Research Ethics Oversight Committee
Resident Status Appeals Committee
Scholarship Committee
Smart Classroom Technology Steering Committee
Space Allocation Committee
Status of Women
University and Medical Center Institutional Review Board
University Special Collections Committee
VI. Guidelines for Organizing
into Code Units
These
guidelines are being provided to assist faculty who democratically decide to
organize into self-governing autonomous units at the department, school or
college level.
General Instructions
Submit via the
·
ECU Faculty Manual, Part II., Section VI. Guidelines
for Organizing into Code Units
·
ECU Faculty Manual, Appendix L., Section C. Development, Screening and Implementation of
Unit Codes
·
Unit
Code Screening Committee’s General Guidelines for Writing and Revising a Unit
Code of Operation
Process
to Organize
Consistent with the amendment procedures of the Unit Code of
the department/school, the faculty of a school/college may democratically
decide to organize into self-governing autonomous units and to develop rules
for the internal organization and operation of their departments. A cover page and letter should be submitted
to the Faculty Governance Committee requesting approval to draft a code of unit
operations. This proposal to organize
should include:
·
Cover
page: include name of school/college,
name of proposed unit, East Carolina University, and a flow chart for each
stage of development with signatures and dates of approval, i.e.,
·
Cover
letter: 1. A statement requesting approval to organize
for the purpose of drafting a code of operation to
become a self-governing autonomous unit.
2. A
rationale/s for requested reorganization
3. A description of the democratic process used
to decide to organize into self-governing autonomous units (who voted, when,
and by what percentage).
4. A
school/college chart of organization clearly indicating:
a) The proposed autonomous departments
by name and relationship/responsibility to other units and the School/College
b) The total number of permanently
tenured and tenure-track faculty in the unit
Criteria for Establishment of a Self-Governing
Autonomous Unit at the Department Level
The driving force for forming self-governing departments
within a school or college should be the degree programs and the
curricula. Self-governing departments
may be formed when they want the authority for the curriculum to reside at the
department level rather than the school or college level. A self-governing unit must have a code of
operation with rules for the internal organization and operation of the
unit. The code will become operational
when approved by the tenured faculty of the unit, submitted to the appropriate
dean for advice, and approved by the Unit Code Screening Committee, the
The self-governing autonomous unit will:
1. Have at least 7 full-time
tenure-track or permanently tenured faculty members,
2. Be self governing in regard to all
internal matters, including the authority and responsibility for at least one
degree program,
3. Autonomously administer a financial
budget, subject to the usual legal requirements,
4. Conduct the quadrennial evaluation
of the chair/director.
The unit chair/director will be responsible for:
1. Faculty assignments, personnel and
student files, and preparations of the annual report,
2. The annual evaluation of faculty
members.
The following diagram illustrates acceptable models for the
formation of self-governing units within colleges and schools.
Link
to Acceptable Models for Code Units in Reorganization Plan
Amended
PART III
ACADEMIC FREEDOM
(formerly
Appendix E)
The
The teacher is
entitled to full freedom in research and in the publication of the results,
subject to the adequate performance of his or her other academic duties; but
research for pecuniary return should be based upon an understanding with the
authorities of the institution.
The teacher is
entitled to freedom in the classroom in discussing his or her subject, but he
or she should be careful not to introduce into his or her teaching
controversial matter which has no relation to his or her subject. Limitations of academic freedom because of
religious or other aims of the institution should be clearly stated in writing
at the time of the appointment.
The college or
university teacher is a citizen, a member of a learned profession, and an
officer of an educational institution.
When he or she speaks or writes as a citizen, he or she should be free
from institutional censorship or discipline, but his or her special position in
the community imposes special obligations.
As a person of learning and an educational officer, he or she should
remember that the public may judge his or her profession and his or her
institution by his or her utterances.
Hence, he or she should at all times be accurate, should exercise
appropriate restraint, should show respect for the opinions of others, and
should make every effort to indicate that he or she is not an institutional
spokesperson.
The college or
university faculty member is a citizen and, like other citizens, should be free
to engage in political activities so far as he or she is able to do so
consistently with his or her obligations as a teacher and scholar.
Many kinds of
political activity (e.g., holding part‑time office in a political party,
seeking election to any office under circumstances that do not require
extensive campaigning, or serving by appointment or election in a part‑time
political office) are consistent with effective service as a member of a
faculty. Other kinds of political
activity (e.g., intensive campaigning for elective office, serving in a state
legislature, or serving a limited term in a full‑time position) may
require that the professor seek a leave of absence from his or her college or
university.
In recognition of the
legitimacy and social importance of political activity by faculty members,
universities and colleges should provide institutional arrangements to permit
it, similar to those applicable to other public or private extramural service. Such arrangements may include the reduction
of the faculty member's work load or a leave of absence for the duration of an
election campaign or a term of office, accompanied by equitable adjustment of
compensation when necessary.
A faculty member seeking
leave should recognize that he or she has a primary obligation to his or her
institution and to his or her growth as an educator and scholar; he or she
should be mindful of the problem which a leave of absence can create for his or
her administration, his or her colleagues, and his or her students; and, he or
she should not abuse the privilege by too frequent or too late application or
too extended a leave. If adjustments in
his or her favor are made, such as a reduction of a work load, he or she should
expect them to be limited to a reasonable period.
A leave of absence
incident to political activity should come under the institution's normal rules
and regulations for leaves of absence. Such a leave should not affect
unfavorably the tenure status of a faculty member, except that time spent on
such leave from academic duties need not count as probationary service. The terms of a leave and its effect on the
professor's status should be set forth in writing.
The policy set forth by the board of governors regarding
political activities of university employees is summarized in Part VI. General Personnel Information.
PART IV
ACADEMIC INTEGRITY
(formerly Appendix N)
CONTENTS
I. Principle
II. Academic Integrity Violations
A. Cheating
B. Plagiarism
C. Falsification
D. Attempts
III. Student Observation of Suspected
Violation
IV. Organization and Procedures
A. Suspected
Violation
B. Primary
Interview
C. University
Academic Integrity Board
I.
Principle
Academic integrity is expected of every
II.
Academic Integrity Violations
Academically violating the Honor Code consists of the
following:
A. Cheating
‑ Unauthorized aid or assistance or the giving or receiving of unfair
advantage on any form of academic work.
B. Plagiarism
‑ Copying the language, structure, ideas, and/or thoughts of another and
adopting same as one's original work.
C Falsification
‑ Statement of any untruth, either spoken or written, regarding any
circumstances relative to academic work.
D. Attempts
‑ Attempting any act which if completed would constitute an academic
integrity violation as defined herein.
III.
Student Observation of Suspected Violation
A student or group of students knowing of circumstances in
which an academic violation of the Honor Code may have occurred or is likely to
occur is encouraged to bring this knowledge to the attention of the responsible
faculty member, or to the dean or department chairperson, or to the attention
of a member of the University Academic Integrity Board.
IV.
Organization and Procedures
A. The
faculty member has original jurisdiction in all suspected violations. In cases where the faculty member believes a violation
has occurred, the faculty member must summon the student to a primary interview
in accordance with the procedure below.
B. Primary Interview
1. Notification
A student who is believed to have violated academically the
Honor Code shall be informed of the charge by the faculty member who identified
the violation. Subsequently, the student
will be called to an interview with the faculty member concerned. The interview shall be set within three class
days after the alleged violation has come to the attention of the faculty
member.
2. Composition
The student and the faculty member may each have a
nonparticipating observer at the interview.
The faculty observer shall be the chairperson of the department or dean,
associate dean, or assistant dean of the college or school. The student may select a student or faculty
member as he/she desires. The
observer(s) is/are to observe the procedures impartially and to be prepared to
testify in the event of an appeal from the judgment of the faculty member.
3. Procedure
a. At
the interview, the faculty member shall present evidence in support of the
charge or charges against the
student. The student shall be given an
opportunity to respond and present evidence to rebut the charge or charges.
b. After
hearing the student, the faculty member may either dismiss the charge or find
it supported on the basis of the evidence.
If supported, the faculty member may record a failing grade in the
course or some portion thereof or take other appropriate action. He or she shall report the action taken to
the associate dean of students and director of student services.
4. Referral to
Academic Integrity Board
After completion of the primary interview and on the basis
of the evidence presented, if the faculty member is of the opinion that a
failing grade in the course(s) is inadequate disciplinary action, the faculty
member may refer the entire case to the Academic Integrity Board for
appropriate action. Such referral must
be made within fourteen calendar days after the primary interview. In each case, a new hearing will be conducted
by the Academic Integrity Board without regard to the findings made or any
disciplinary action taken during the primary interview.
5. Appeals
a. The student may
appeal the decision of the primary interview to the Academic Integrity Board
if:
(i.) the student
believes the penalty too severe considering the offense or
(ii.) the student
contests the decision of the faculty member on the basis of the evidence
presented.
b. The
appeal must be submitted to the office of the Associate Dean of Students and
Director of Student Services within five class days after notification of the
decision by the faculty member.
C. University Academic
Integrity Board
1. Composition
a. Four faculty
members and four alternates elected for three‑year staggered terms by the
b. Three
students and four alternates nominated by the SGA Executive Council and elected
by the SGA Legislature. These students
shall serve for a year and may be reelected for one additional year.
c. A quorum shall
consist of four faculty members and three students.
d. The
chairperson, elected for a one‑year term, shall be a faculty member of
the board, elected by members of the entire board and may be re-elected.
e. The
associate dean of students and director of student services shall serve as
administrative officer of the board.
2. Original
Jurisdiction
The Academic Integrity Board shall have original
jurisdiction over academic violations of the Honor Code if the faculty member
elects to refer the case after the primary interview.
3. Appellate
Jurisdiction
The Academic Integrity Board shall have appellate
jurisdiction in cases appealed by the student pursuant to the provisions of
IV.B.5., above.
4. Procedures
a. The
associate dean of students and director of student services on behalf of the
chairperson, shall notify the parties involved of a meeting of the Academic
Integrity Board within ten class days after an appeal by a student. The faculty member, the student, witnesses,
and the independent nonparticipating observer(s), shall be provided not less
than seven days notification of the date, time, and place of the meeting. If a grade for the student in the course must
be submitted, the faculty member shall record a grade of incomplete, pending a
decision by the board.
b. Those present at
the hearing shall be:
1) the student, who has the right to be accompanied by
witnesses;
2) the faculty member, who has the right to be accompanied
by witnesses;
3) independent nonparticipating observer(s) if present at
the primary interview;
4) any other person called by the chairperson; and
5) the student attorney general and the student public
defender.
c. Should
the student or the faculty member fail to appear without prior approval of the
administrative officer, the Academic Integrity Board shall proceed with an
absentia hearing.
d. The
Academic Integrity Board will follow the hearing procedures established for the
University Honor Board.
e. A
majority of the board shall decide the issue.
The chairperson shall vote only in the case of a tie.
f. The
associate dean of students and director of student services shall serve as
administrative officer for maintaining accurate and complete records of the
proceedings.
g. The
administrative officer of the Academic Integrity Board shall, on behalf of the
chairperson, notify each party of the decision of the board.
5. Actions by the
Board
a. Evidence
insufficient to sustain charge or charges
When this action is taken, in order to protect both the
student and the faculty member, continuation in the class(es) and other related
issues must be resolved by the dean or department chairperson in consultation
with the student and the faculty member.
b. Evidence
sufficient to support the charge or charges
The board may impose one or more of the following sanctions:
1) sustain
the decision of the faculty member or recommend to the faculty member that the student receive a
failing grade for the course(s) or some
portion thereof;
2) impose probation
for a period of time not to exceed one year;
3) impose suspension
or dismissal from the university;
4) require
a period of counseling with a member of the university staff or a counseling
professional of the student's choice. It
will be the responsibility of the student to provide evidence to the board of
having fulfilled this requirement; and/or
5) take
any other action commensurate with the findings. See Student
Government Association Handbook.
6.
An appeal of a decision of the
Academic Integrity Board may be submitted to the vice chancellor for student
life. The vice chancellor for student
life and the vice chancellor for academic affairs shall jointly review the
decision and take appropriate action.
7. Annual Reports
The Academic Integrity Board shall submit a summary report
of its proceedings to the
Approved: 26 April 1983
Amended: 18 January 1985
PART V
ACADEMIC
INFORMATION
CONTENTS
I. Academic Procedures and Policies
A. Access
to Student Educational Records
B. Application
for Graduation
C. Certification
D. Class
Roll Verification
F. Desk
Copies
G. Faculty
Absence
H. Faculty
Load
I. Faculty
Marshals
J. Grade
Appeals
K. Office
Hours
L. Ordering
Textbooks and Collateral Materials
M. Orientation
of Courses
N. Posting
Grades
O. Privacy
of Student Educational Records
P. Re-examination
Q. Release
of Directory Information
R. Reporting
of Grades
S. Reporting
Removal of Incompletes
T. Resale
of Complimentary Textbooks
U. Senior
Summary Sheet
V. Student
Advising
W. Student
Attendance Regulations
X. Student
Conduct
Y. Disruptive
Academic Behavior
Z. Supervising
Tests
AA. Tests
and Examinations
BB. Used
Books
CC. Mace
Bearer
II. Academic Facilities
A. Auditoriums
B. Computing
and Information Systems
C. Emergency
Action Plan
D. Facilities
Services
E. Health
Sciences Library
F. Joyner
Library
G. University
Property
III. Curriculum Development
I. Academic Procedures and Policies
A. Access to Student Educational Records
In compliance with the Family Educational Rights
and Privacy Act of 1974, it is the policy of the university that students have
the following rights in regard to official educational records maintained by
the university:
1. Each student has the right to inspect and
review any and all official educational records, files, and data maintained by
the university and directly related to the student.
2. The university will comply with the request
from a student to review his or her records within a reasonable time but in any
event not more than forty-five days after the request is made. Any inquiry
pertaining to student records should be directed to the Office of the
Registrar.
3. A student who believes that his or her
educational records contain inaccuracies or misleading information or that his
or her right of privacy is violated on the basis of information contained in
such records has the right to a hearing to challenge such information and to
have it removed from his or her record or to include in the record his or her
own statement of explanation. Any complaint pertaining to student records
should be made directly to the office of the University Attorney.
4. The university will not release any
information from student records to anyone except those agencies noted below in
item 5. without the prior written consent of the student. The consent must
specify the records or information to be released, the reasons for the release,
and the identity of the recipient of the records.
5. Information from the student's records may be
released without the written consent of the student in the following
situations:
a. in compliance with a court order or subpoena
provided the student is notified of all such orders or subpoenas in advance of
compliance by the university
b. a request from the staff or faculty of the
university who have a legitimate educational interest in the information or
administrative duties which require the maintenance of records
c. requests from other departments or
educational agencies who have legitimate educational interest in the
information
d. requests from officials of other colleges or
universities at which the student intends to enroll provided the student is
furnished with a copy, if he or she so desires, so that he or she may have an
opportunity to challenge the contents of the record
e. requests from authorized representatives of
the
f. requests in connection with a student's
application for receipt of financial aid
9. requests from parents of a dependent student
as defined in Section 152 of the Internal Revenue Code of 1954
h. requests from appropriate persons in
connection with an emergency if the knowledge of such information is necessary
to protect the health or safety of the student or other persons. A student has
the right to file a complaint at any time with the US Department of Education.
However, it is expected that the student normally would exhaust the
administrative remedies for relief available to him or her according to the
university grievance procedures before filing such a complaint. See Privacy of Student Educational Records,
Part V.I.O. for more information.
B. Application for Graduation
Advisers should remind students that application
to graduate must be made on a form provided by the university registrar not
later than two semesters before the completion of the requirements for an
undergraduate degree or one semester for a graduate degree. The graduation fee
must accompany the application.
C. Certification
Current certification requirements for teachers
and administrative personnel applicable in the State of
D. Class
Roll Verification
Twice each semester—once near the beginning of the term
(prior to census day) and once near the mid-point of the term—the registrar
contacts each instructor in order to verify student enrollment in that
instructor’s classes. At the beginning of the term, the purpose of the
verification is to ensure the accuracy of the lists of properly registered
students. At the mid-point of the term, the
purpose of the verification is to identify any students who are no longer
attending class. In the event that a faculty member teaches a course in which
attendance is not regularly taken, he or she should note any students who have
ceased participating and submitting work. Specific instructions for responding
to the registrar will accompany the requests for class enrollment verification
and should be followed carefully. Due to the significant impact students’
enrollment status can have on their financial aid eligibility, the amount of
financial aid the university is allowed to disburse, and the amount of
financial aid the university is required to return, timely faculty response to
class enrollment verification requests is essential. (FS Resolution 09-07,
March 2009)
In a cooperative
arrangement the Dowdy Student Stores and
F. Desk Copies
Providing desk or
complimentary copies of textbooks is a service extended by most publishers to
instructors using their books in the classroom. Instructors are urged to obtain
their desk copies directly from the publishers by writing or calling them
stating that they intend to adopt their book as a text and requesting that they
send a desk copy. The Dowdy Student Stores does not furnish free desk copies
but will assist the instructor by providing desk copies on an emergency loan
basis. The desk copy will be charged to the departmental desk copy account for
a period of up to 60 days, during which time the book is to be replaced with a
completely new, unmarked, salable copy. If the book is not replaced within this
period of time, the charge becomes permanent and is paid for out of the
department's budget. Forms necessary to obtain a desk copy from the store are
available in each unit office. For complete details concerning this procedure,
instructors should confer with the unit administrator.
G. Faculty
Absence
Any faculty member who contemplates being absent
from regular campus duties is expected to make arrangements in advance with his
or her unit administrator. The unit administrator then makes arrangements for
this absence as well as substitute arrangements with the appropriate vice
chancellor. A petition to travel form must be completed and submitted to the
office of the appropriate vice chancellor at least two weeks in advance for
in-state trips, at least three weeks in advance for out-of-state trips, and at
least four weeks for out-of-country trips. In the event of an absence caused by
an emergency or illness, a faculty member is advised to inform the dean or
chairperson at his or her earliest convenience.
H. Faculty
Load
The standard teaching load for undergraduate
courses is twelve semester hours per semester and nine semester hours per
semester for graduate courses. Faculty members who are to be granted released
time from teaching shall be informed in writing by the unit administrator of
the purpose of the reduced teaching assignment. After soliciting faculty
teaching preferences and prior to making final faculty assignments and at least
two weeks prior to the beginning of each semester, the unit administrator shall
apprise each unit faculty member, in writing, of teaching duties and
responsibilities. If changes in a faculty member's assignment become necessary,
the faculty member shall be notified of such changes prior to the effective
date of the amended assignment. See Appendix
D, Tenure and Promotion Policies and Procedures of
The summer session, consisting of two summer
terms, provides course work equivalent to that of the academic year. No faculty
member can be guaranteed a teaching assignment in the summer session; tentative
appointments are made pending enrollment statistics. No faculty member on a
nine-month contract will be assigned to more than one summer term in a session
except when all faculty in the unit have had an opportunity to teach one term,
in case of curriculum necessity, or in case of unit administrators not hired on
a twelve-month basis.
I. Faculty
Marshals
Faculty Marshals are ten
faculty and two alternates appointed
from the full-time, tenured, senior faculty to serve at graduations and other
such ceremonial occasions as requested by the chancellor. Those appointed should be individuals readily
recognized as outstanding members of the academic community. The Chief Faculty
Marshal shall be the faculty marshal in the second or later year of appointment
as a faculty marshal and who is of greatest faculty seniority
among the faculty marshals. This seniority determination is made each
year by the Assistant Vice Chancellor for Human Resources. The Chief Faculty Marshal
shall serve as ex-officio on the Administrative Commencement Committee. A Faculty Marshal’s appointment is a
one-term, four year appointment beginning August 1. The Chair of the Faculty will make
recommendations in May of each year to the Chancellor, who will appoint the
individuals no later than July 31. (
J. Grade
Appeals
A student wishing to contest a course grade
should first attempt to resolve the matter with the instructor who determined
the grade. The student may appeal the
instructor’s decision by submitting a written appeal to the instructor’s
department chairperson or dean, as appropriate, not later than the last day for
undergraduate students to drop semester-length courses during the next regular
semester. The instructor’s department
chairperson or dean, as appropriate, shall review the student’s request with
the faculty member and either concur with the grade or request that the faculty
member reassess the grade. The final
decision shall rest with the faculty member responsible for the course grade. (
Faculty are required to retain for one calendar
year from the date a grade is posted all course records that substantiate the
posted grade. (
K. Office
Hours
In addition to teaching,
each member of the faculty must maintain office hours five hours during a work week to be available to advisees and to campus and distance education students
who wish to consult with him or her. It is strongly recommended that the
adviser be available daily either on
campus or online at least one hour each day. The office hour availability schedule is to be posted
on the faculty member's office door and/or
online course website, and included in the syllabus so that students may
make arrangements for individual
consultations. Each unit administrator is to have a complete schedule of
the office hours of all faculty of the school or department. Except during
assigned instructional hours, faculty members must be available to students
during registration, early registration (except when assigned to registration
duties elsewhere) and drop-add periods. (FS
Resolution 09-24, June 2009)
L. Ordering Textbooks and Collateral Material
The university-owned Dowdy
Student Stores, located in the
Fall Semester Requisitions Preceding March
17
Spring Semester Requisitions Preceding
October 19
Summer Session Requisitions Preceding
February 20
Book
requisitions received on these dates allow the store time to prepare buy-back
lists used in purchasing from the students any book that they no longer need.
This helps the students to keep the total costs of textbooks down as much as
possible.
Deans and department
chairpersons distribute these requisitions and collect the completed forms from
the instructors involved in book and supply ordering. The entire group of
requisition forms from the school or department is forwarded, as soon as possible,
to Dowdy Student Stores. A textbook requisition form should be completed for
each course giving all the information needed to order the books and materials.
When no textbook is required for a course, the form should be filled out to
this effect. The information should be typed on the forms, if possible, and the
designated copy retained in each departmental office for future reference.
Careful and accurate
estimates of student enrollments should be furnished to the textbook manager of
Dowdy Student Stores in order to avoid overstocking of books and supplies which
may become obsolete and result in financial loss to the university. Members of the faculty should acquaint
themselves with certain information concerning textbook and supply orders at
the time the order forms are distributed to them.
1.
Dates that publishers furnish for the
availability of new books are almost invariably over-optimistic, and
instructors should order an edition only after it has been published rather
than on the strength of the publisher's promised date of publication.
2. Unless there is some compelling reason for
using an old edition, instructors should use the newest edition available.
3. Only textbooks that are requisitioned for the
following term will be
bought back at 50 percent of the new
retail price for resale purposes,
provided the store is not already
overstocked.
4. Supplies that the students will be required
to purchase should be
requisitioned on the supplies requisition form provided by Dowdy Student Stores.
M. Orientation
of Courses
At the opening of each semester, faculty members
should provide the following information during the initial class meetings:
·
The prerequisites of the course, if any, and the required class
standing, that is, freshman, sophomore, etc.
Students not eligible for the course should be sent to the office of the
Registrar immediately.
·
The content of the course
·
The objectives of the course and the value to be derived from the
course
·
The complete requirements of the course, such as textbooks, other
materials required, number and nature of reports to be submitted, outside
reading, notebook requirements, types of quizzes to be used, and class
attendance regulations
·
The weight of the various requirements of the course in determining
the final grade
·
Smoking is prohibited in all ECU classrooms
The first meeting of each class should consume
the full time allotted by the schedule.
Faculty members are expected to have in their
possession a syllabus for each course they teach. It is the responsibility of
each dean and chairperson to have syllabi for all courses taught in the
college, school, or department.
N. Posting
Grades
As soon as they are determined at the end of each semester
or summer term, grades are posted electronically. Students may secure their
grades via the automated voice response system using
their pin number, and via the OneStop (https://onestop1.ecu.edu/onestop/)
using their exchange userid and password.
In compliance with the Family Educational Rights and Privacy Act,
faculty are not allowed to post grades by Social Security Number, any
sequential part thereof, or any other personally identifiable characteristic.
Upon receipt of a written request to the Office of the Registrar, a report of
grades is sent to the student at his or her permanent home address. Questions about final examination grades
should be directed to the instructor who determined the grade.
(
O. Privacy
of Student Educational Records
The university policy for the administration of
student educational records is in accordance with the provisions of the Family
Educational Rights and Privacy Act of 1974 (P.L. 93-380). Personally identifiable
information contained in student educational records will not be disclosed to
persons outside the university without the prior written consent of the
student. Under this policy, the student also has a right of access to student
educational records maintained by the university or any department or unit
within the university. A copy of the university policy dealing with the privacy
of student educational records is maintained in each professional school and
academic department within the university. Each member of the faculty should be
thoroughly familiar with this policy and comply with its provisions. See also
Access to Student Educational Records, Part V.A.
P. Re-examinations
Only those graduating seniors in the last
semester, who are passing a course at the time an examination is given, and who
fail the examination will be given one re-examination on the course. No other
re-examinations are to be given.
A grade change resulting from a re-examination
must be on file in the registrar’s office one week after the original scheduled
examination.
Q. Release
of Directory Information
It is the policy of the university to make
routinely available certain directory information on its students. This policy
is for the convenience of students, parents, other members of the university
community, and the general public. In compliance with the Family Educational
Rights and Privacy Act (P.L. 93-380), the university will continue this policy
of releasing directory information, such information being defined by the act
as some or all of the following categories: the student's name, address,
telephone listing, date and place of birth, major field of study, participation
in officially recognized activities and sports, weight and height of members of
athletic teams, dates of attendance, degrees and awards received, and the most
recent previous educational agency or institute attended by the student. If any
student does not wish any or all of this directory information released without
his or her prior consent, then the student must notify the Office of the
Registrar in writing within seven days after registration day of the current
term of enrollment.
R. Reporting
of Grades
Grades must be submitted electronically not
later than forty-eight hours after each final examination is given. A change in grade, other than “I”, for any
reason, must be made within one year from the date the original grade was
received. Forms for change of grade are available in school or departmental
offices. (
S. Reporting
Removal of Incompletes
A grade of I must be removed during the next
semester (not counting summer session) the student is enrolled in the
university, or it automatically becomes a failure. The instructor will set a
time for the removal of the incomplete, in no case later than three weeks prior
to the end of the semester. Instructors must submit the proper removal of
incomplete form to the registrar's office at least two weeks prior to the end
of the semester. If the student does not return to school, the I must be
removed within one year or it automatically becomes an F. An incomplete may not
be removed by repeating the course. If a student enrolls in a course in which
he or she has an incomplete, the I will automatically become an F. No student
will be allowed to graduate with an Incomplete on his or her record. Certain
sequence courses, particularly 6995, 6996, Thesis, normally require the
completion of the entire sequence before any grade other than I may be given
for the earlier component.
T. Resale
of Complimentary Textbooks
U. Senior
Summary Sheet
Advisers shall confer with first-semester
seniors concerning their remaining requirements for graduation. At this time
the senior summary sheet is filled out in triplicate, one copy to be sent to
the registrar for immediate verification, one to be kept by the student, and the
third to be retained by the student’s major department or school. The senior summary sheet will note the
appropriate undergraduate catalog edition carrying the requirements to be met,
the degree sought, the intended date of completion of all requirements, and the
requirements unfulfilled to date. Remaining requirements will be listed
specifically as provided in the appropriate catalog.
V. Student
Advising
To assist students in their academic programs,
the university has established in each college, school, and department a system
of student advising wherein the student is assigned to a faculty member who
serves as his or her adviser. The adviser helps to plan the student's academic
program, particularly during registration periods; keeps a record of progress;
and is available throughout the year for additional counseling. In advising students, faculty members should
make themselves thoroughly familiar with official announcements, posted on
official bulletin boards at key locations on campus, and with academic
regulations described in the undergraduate and graduate catalogs. Advisers
should make every attempt to give effective guidance to students in academic
matters and to refer students to those qualified to help them in other matters;
but, the final responsibility for meeting all academic requirements for a
selected program rests with the student. The student may obtain additional help
from the chairperson of the major department or the dean of the college or
school. Further counseling needs are met through the services of the
W. Student
Attendance Regulations
Students are expected to attend punctually all
lecture and laboratory sessions in the courses for which they are registered,
beginning with the first session following registration in the course, except
as provided below. Each instructor shall determine the class attendance policy
that is felt to be best for the particular course. In determining the number of
unexcused absences which will be accepted, the instructor should consider
carefully the nature of the course, the maturity level of the students
enrolled, and the consequent degree of flexibility which the instructor's
policy will include. This policy, along with the instructor's requirements for
announced quiz attendance, should be presented to the class, preferably in
writing, at the beginning of the term and will govern attendance in the
class. It is the intent of the
university that students missing classes due to the observance of religious
holidays be given ample opportunity to make up work. Instructors are expected to recognize and honor
official university excuses, i.e., excuse students without penalty for absences
because of participation in authorized university activities. If required by
the instructor, verification of these authorized absences may be obtained by
the student by contacting the office of the Dean of Students.
No faculty member should urge a student to take
part in an extracurricular activity at the expense of the student’s class work
nor expect the student to appear at any rehearsal if he or she has a class at
that period. No class absences will be excused for rehearsals. Only absences
for performances and necessary travel to and from performances are
excused. Verification of student
illness may be obtained by calling the Student Health Service. Official written
excuses are not issued for personal illness, except in the case of a final
examination when a grade of incomplete is recommended. Student teachers
assigned to schools within the immediate vicinity of the campus will report to
the Student Health Service when they are ill. The Student Health Service, upon
request from the office of Student Teaching and Field Experiences, will provide
verification of their visits and indicate whether the severity of the illness
warrants an absence from student teaching. Student teachers missing one or more
days will return to the Student Health Service for a medical clearance before
returning to public school classrooms.
X. Student
Conduct
At times it may seem appropriate for an
instructor to refer problems of student conduct in class to other agencies for
assistance. Conduct such as verbal or physical harassment should be reported to
the dean of students. Destructive or unruly behavior in class should be
reported to the dean of students. Appropriate disciplinary action will be taken
against a student who participates in any illegal activity which results in the
disruption of any normal curricular or extracurricular functions of the
university. Cheating or plagiarism will be dealt with according to the
procedures outlined in Part IV, Academic
Integrity.
Y. Disruptive Academic Behavior
East
Disruptive academic behavior is any behavior likely to
substantially or repeatedly interfere with the normal conduct of instructional
activities, including meetings with instructors outside of class. Examples of
such behavior include, but are not limited to, making loud or distracting
noises; using cell phones and other electronic devices without prior approval;
repeatedly speaking without being recognized; frequently arriving late to
class; and making threats or personal insults. A verbal expression of a
disagreement with the instructor or other students on an academic subject
matter discussed within the course, during times when the instructor permits
discussion, is not in itself disruptive academic behavior.
The course instructor has original purview over his/her
class and may deny a student who is unduly disruptive the right to attend the
class. A student who does not follow reasonable standards of academic decorum
should receive a private verbal warning from the faculty member. The instructor
should describe the behavior of concern to the student, explain that it is
inappropriate, and ask the student to stop the behavior. If the behavior
continues, the instructor should give the student a written warning indicating
that the student will be removed from the course if the behavior does not
cease. If the behavior persists, the instructor should discuss the situation
with his/her department chair. If it is decided to remove the student from the
course then the instructor should schedule a meeting with his/her department
chair and the student to inform the student that s/he is being removed from the
course. This decision must be communicated in writing to the student with a
copy promptly forwarded to the Office of Student Rights and Responsibilities.
The department chair must promptly communicate the decision in writing to the
Office of the Registrar so that the student’s schedule will be adjusted
accordingly.
If the behavior is threatening in nature or is likely to
result in immediate harm, the faculty member should contact the East Carolina
University Police Department for assistance.
The student may appeal the decision of the instructor and
department chair to the academic dean of the college in which the course is
located. The appeal must be received by the dean, in writing, within three
working days of the date of the decision to remove the student from the course.
The dean or dean’s designee will review the appeal and the documentation, will
discuss the appeal with the faculty member and, after discussion with the
student and instructor, can affirm, reverse or modify the decision made by the
instructor and department chair. The student, instructor and department chair
will be notified of the appeal decision no later than three working days after
receiving the appeal. The dean will provide written notification of the appeal
decision to the Office of Student Rights and Responsibilities, and also, if the
original decision is overturned, to the Registrar’s Office. If the decision is
made that the student is to return to the course then the student will be
allowed to immediately return to the classroom without academic penalty and the
chair will work with the student and instructor to facilitate the completion of
any missed work. The dean’s decision is final.
This policy does not restrict the instructor’s prerogative
to ask a disruptive student to leave an individual class session where
appropriate or to refer the student to the Office of Student Rights and Responsibilities
for violation of the Student Code of Conduct. (
Z. Supervising
Tests
Each student is expected to uphold the honor
code of the university. The honor code, “You are on your honor not to cheat,
steal or lie,” does not imply that a student must report violations committed
by another student. It is, therefore, the responsibility of each faculty member
to make sure that each test or examination is adequately supervised. See Part IV, Academic Integrity.
AA. Tests
and Examinations
Where practical, some indication should be given
to the student of his or her standing in the course prior to the last day to
drop a course without grades; the drop period is limited to the first thirty
days of classes of a regular semester and the first ten days of classes of a
summer term. While it is understood that the objectives of courses differ among
disciplines and that the relevant procedures used to measure those objectives
differ, instructors, particularly those of 1000- and 2000-level courses, should
provide their students with some form of graded response (e.g., essay
questions, term papers, etc.) prior to the last day to drop. (
An instructor should not administer make-up quizzes
or allow credit to those students who miss announced or scheduled intermediate
tests and quizzes. Students who are absent from intermediate tests and quizzes
with an excuse acceptable to the instructor or an official university excuse
from the dean of students will be given a make-up test or an excuse from taking
the test at the discretion of the instructor. Students should not be permitted
to continue a test or an examination after the end of the class period. Final
examinations are held at the close of each term. There will be no departure
from the printed schedule of examinations. Changes for individual emergencies
of a serious nature will be made only with the approval of the instructor, the
chair of the department or dean of the school involved, and the dean of
undergraduate studies. The department chair or school dean will, if a serious
emergency is believed to exist, forward a written request to the dean of
undergraduate studies setting forth the nature of the emergency. A student who
is absent from an examination without excuse will be given a grade of F. An
incomplete (I) will be given in the case of a student absent from the final
examination who has presented a satisfactory excuse to the instructor or an
official university excuse from the dean of students.
BB. Used
Books
At the beginning of each
semester, Dowdy Student Stores try to have on hand as many used books as
possible since this is the best means available to help students keep the cost
of their textbooks down. The store will pay 50 percent of the new price
provided the store is not already overstocked on readopted texts. The used book
will be sold at 75
percent
of the new price. If that book is resold to the store, 50 percent of
the
new price will be paid again.
CC. Mace Bearer
The mace bearer is a faculty member who leads University
ceremonial events such as graduation and Founder's Day processions. The
eligibility requirements to be appointed
· Senior faculty member in terms of
years of service,
· Holds a full-time faculty position
with
· Is not a unit administrator or an
individual with one half or more of his/her load assigned to administrative
duties.
The Associate Vice Chancellor for Human Resources prepares a
list of the most senior faculty members in terms of years of service to the
University and notifies the Chancellor and Chair of the Faculty. The Chancellor
makes the appointment. If there is more than one qualified individual, the
responsibility of the position should rotate among them.
(This policy will take
effect at such time that the current Mace Bearer no longer qualifies under the
rules in effect at this time or May 2007, whichever comes first.) (
II. Academic Facilities
A. Auditoriums
Reservations for the use of Wright Auditorium
for programs at any time are to be made with the university central
reservations office. Other auditoriums located throughout the University are
scheduled through the academic unit located closest to the auditorium or
through the office of the Registrar. Jenkins Auditorium is scheduled through
the office of the Dean of the
Faculty, staff, and student organizations may
use university facilities subject to scheduling procedures coordinated by the
central reservations office. All university facilities are available free of
charge for university-sponsored (i.e., academic or administrative department or
group, registered student club or organization, faculty or staff organization)
activities, events, or programs except when an admission or special fee is
charged, or a contribution is requested as a condition of attendance. Charges
for over-time labor or special labor (i.e., university technicians) will be
made when exceptional set-ups such as moving and setting up the bandwagon or
removing and replacing furnishings in a room are necessary.
Non-university organizations may use university
facilities when space is available and such usage does not interfere with
university activities. The sponsoring organization is responsible for costs
related to conducting the event on campus as determined by the university. A
deposit with the central reservations office is required in advance of usage by
the organization. The use of university facilities is governed by the ECU Use of University Facilities Policy.
B. Computing
and Information Systems
The Computing and
C. Emergency
Action Plan
Once notified of an emergency, the appropriate
vice chancellor will inform the unit heads who will notify department chairs.
The department chairs are responsible for notifying their faculty who will
inform students in the classroom buildings of the specific emergency and what
actions should be taken. If the emergency is one that requires people to stay
away from the campus, the appropriate vice chancellor will notify all faculty
off campus not to come on campus until the emergency is over.
D. Facilities Services
Requests for repairs, maintenance, renovations, or housekeeping
can be made by calling Facilities Services, or using the on-line workorder
system. Details concerning renovations
and other non routine facilities activities can be found in the ECU
Business Manual.
Modifications, renovations, connections to utilities and other changes
to real property, including land use changes, require the prior written
approval of Facilities Services.
Faculty have the responsibility of familiarizing
themselves with all fire fighting equipment available in their area of
operations and to knowing how and when to use it. Furthermore, faculty should
familiarize themselves with the evacuation plan for their unit in the event of
a fire.
E. Laupus
Health Sciences Library
The William E. Laupus, M.D. Health Sciences
Library, located in the Laupus, Allied Health, and Nursing Building (LAHN) on
the university's west campus, serves as the primary information center for the
university's instructional, research, and patient care programs in the health
sciences. It also serves as the comprehensive information resource center for
health care professionals who practice in northeastern
The library provides a full range of information services. Please
see the library’s Website at http://www.ecu.edu/cs-dhs/laupuslibrary/.
Library hours are posted at http://www.ecu.edu/cs-dhs/laupuslibrary/hours.cfm
and are available by calling 252.744.2222.
The Laupus Library circulation policy states that books are loaned
to faculty until the last day of classes of the semester in which they are
borrowed unless requested by another user; they may be renewed. Faculty may
borrow journals for three-day loan one month after they have been received.
Nonprint media are available for one-week loan. New books are displayed for one
week before they are available for loan. Faculty members are encouraged to recommend
materials for purchase by contacting their liaison librarian or at http://www.ecu.edu/cs-dhs/laupuslibrary/purchaserequest.cfm.
Faculty members are invited to place materials
which appear on recommended reading lists on reserve through Laupus Library.
Requests for materials to be placed on reserve should be submitted prior to
making assignments. Articles or parts of books may be put on e-reserve for
students to access electronically. Books on reserve are listed by course and by
author. Materials on reserve for a course will be placed on reserve each
semester that the course is taught. The library should be notified promptly
when reading lists are revised. (revised 12-14-06)
F.
J.Y. Joyner Library
Joyner Library is the main campus library of the
university. The Music Library, the only
branch library of Joyner, is located in the
Joyner Library provides a welcoming environment for students
and faculty, with spaces for group study as well as quiet contemplation and
research. A coffee shop, a lovely
interior courtyard, the popular reading collection, and an extensive video and
DVD collection are some of the features that draw students and faculty to the
building, even when they do not need to conduct research or check out
books.
The library houses more than a million books, microforms,
journals, and other research materials, while thousands of journals and books
are available online to the ECU community.
Joyner Library offers excellent reference, interlibrary loan, reserves,
and circulation services. Faculty can
request course-integrated library instruction sessions for students in their
classes. Librarians also provide online
reference help, subject guides, and class web pages specifically designed for
online and distance learning courses.
All ECU faculty, staff and students, regardless of location,
have access to the library’s subscription-based electronic resources. These resources include fulltext journal
collections, fulltext multi-disciplinary databases, subject-specific databases,
electronic books, and fulltext databases for art, business, statistics and
other subjects. Access is provided
through the library’s website at www.lib.ecu.edu. Off-campus access is verified by PirateID
and password. In addition, the online Joyner Library catalog can be
searched from any location.
The following services and collections may be of special
interest to faculty:
1. Circulation
The Circulation Department is located across from the main
entrance lobby area of Joyner Library. The Circulation Department is open at
anytime that Joyner Library is open, including semester breaks and
holidays. The Circulation Department is
responsible for the circulation of most materials, including all books within
the general stacks, bound journals (which can be checked out overnight by ECU
faculty), government document materials, and curriculum materials. ECU faculty, staff, and students must have
their One Card to checkout materials.
Faculty must provide written permission on university letterhead for
another person to borrow materials on their card. Circulation policies, including loan periods,
are available at http://www.ecu.edu/cs-lib/accesssrv/circulation/circpolicy.cfm.
2. Reserves
Forms for requesting that library-owned materials be placed
on reserve are available at the Circulation Desk and online. Faculty-owned copies of materials also may be
placed on reserve. Faculty are
encouraged to use the library’s electronic reserve program. For more information, see the Reserve
Collection Policy at: http://www.ecu.edu/cs-lib/accesssrv/circulation/reservepolicy.cfm.
3. Collection
Development
To ensure cooperative collection development and to
facilitate communication between the library and the departments and colleges,
Joyner Library uses a system of library representatives and subject
liaisons. Each college or arts and
sciences department designates a library representative whose responsibility it
is to coordinate book and media orders from colleagues, review books received
on the approval plan, recommend journals for purchase or licensing, keep the
department informed about library matters, and alert the library to department
activities which will affect the library.
Subject liaisons are library faculty who act as liaisons with the
schools and departments through their representatives, select materials in a
variety of formats for purchase or licensing, assist with collection assessment
and accreditation efforts, and keep the department informed about library
matters. Subject liaisons make a special
effort to meet with new faculty at the beginning of each semester so that they
can orient the faculty member to the library and learn about that person’s
research and teaching interests. A
current list of library representatives and subject liaisons is available at: http://www.ecu.edu/cs-lib/techsrv/cdv/subject_liaisons.cfm.
4. Government
Documents & Microforms
Joyner Library is a selective depository for
5. Interlibrary Loan
Interlibrary Loan (ILL) brings the world’s libraries to ECU
students, faculty, and staff. Through
numerous agreements, Joyner Library and thousands of libraries world-wide have
agreed to loan certain materials to each other, when those materials are not
locally available. The ILL service is
free to faculty, staff and students in the Division of Academic Affairs.
Document Delivery services ensure that Joyner Library’s
materials are also available to Distance Education students and faculty who do
not live close to ECU. Visit the ILL webpage to
view policies, schedule a training/consultation session, or place ILL requests
via the online ILLiad system. Please note: most requests require at least
one or two weeks to fulfill; some requests, especially for dissertations/theses
and audio/visual, rare, and fragile materials, are sometimes not able to be
filled. A variety of laws, codes, and
contractual agreements, including copyright, govern ILL transactions.
6. Reference &
Instructional Services
Reference
Services offers personal assistance to members of the ECU community (both
on-campus and distance learners) who need help with their research and course
assignments. Assistance is provided at the reference desk, by telephone and
instant messaging, and via the Ask a Librarian
email service. Members of the Reference staff help users identify relevant
print and online sources, learn to use these sources, formulate search
strategies, find statistical data, and much more. The Reference Services
collection includes high-quality print and online reference materials and
databases. Members of the Reference Services Department teach several
hundred library instruction sessions each year. These course-integrated
sessions are customized to address the students’ class assignments. The Instructional
Services webpage includes an online request form used to schedule a library
instruction session, tips for creating effective library assignments, and other
aids. Special online assistance is
available for faculty teaching distance learners.
The Teaching Resources Center (TRC) serves as a resource for
students enrolled in the teacher education program at
8. Verona Joyner Langford North
Carolina Collection
This department collects, preserves, provides access to and
actively promotes the use of resources pertaining to the state. Holdings include books, broadsides, clipping
and vertical files, maps, microforms, periodicals and state documents, for
which the library is a full depository.
The collection emphasizes the history of eastern
9. Music Library
A department of J.Y. Joyner Library and its only branch, the
Music Library is
located on the first floor of the
10. Special Collections
The
Special Collections Department is a major historical research facility
containing a wide variety of archival, manuscript, and published materials with
a focus on the history of
a. East Carolina Manuscript Collection
The East Carolina Manuscript Collection acquires personal papers, collections
and organizational records related primarily to the history of North Carolina,
especially the East Carolina region, military, naval, and maritime history,
coastal studies, the tobacco industry, and the history of missionary activities
throughout the world. The collection is
considered one of the leading repositories in the nation for modern naval and
maritime history. Among the types of materials contained in these collections
are diaries, letters, financial and legal documents, photographs, slides,
architectural drawings, and other research material for the period between 1600
and 2005. The collection contains 1061 collections of unpublished manuscript
materials and a further 817 additions to these collections. The collection also houses 263 oral history
interviews and transcripts, and extensive collections of microfilms, family
genealogies, church histories and published reference works. Altogether, the collection contains
approximately 3,000,000 individual items and nearly 5,000 cubic feet of
material. The library’s Eastern North Carolina Digital History
Exhibits make many of these unique documents and photographs accessible to
users via the Internet. Guides to the
East Carolina Manuscript Collection are available online at: http://digital.lib.ecu.edu/special/ead/
b. University
Archives
The university archives contains the vital records of
c. Rare Book Collection
Created
only in 1992, the Rare Book Collection has concentrated on acquiring works on
maritime history, voyages of exploration, and pre-1865 publications regarding
slavery. Currently, the Collection
numbers around 1000 volumes and is growing rapidly. It provides some exceptionally rare resources
dating from the sixteenth century to the present. Among its most noteworthy holdings is, “A
General History of the Pyrates, from the First Rise and Settlement in the
d.
The Hoover
Collection contains an extraordinary accumulation of material relating to the
history of communism and radical movements throughout the world. Begun through a legacy from Dr. J. C. Peele
of
e. Map Collection
The
Special Collections Department also includes an impressive and growing
collection of early maps. Established in
2000, the 33 map collections now contain 94 individual maps dating from 1590 to
the present. Although composed primarily
of maps of the
f. Schlobin Collection on Science Fiction
and Fantasy
Established
in 2004 by Professor Roger C. Schlobin to honor his parents, James H. and
Virginia C. Schlobin, this collection acquires both published and unpublished
science fiction and fantasy literature and materials related to the study of
these genres. The collection reflects
the current popularity of Science Fiction, Fantasy and Horror Literature as
witnessed by the Harry Potter / J. K.
Rowling phenomena. The Schlobin
collection presently consists of approximately 2000 printed volumes and 2.411
cubic feet of manuscript materials. It
grows through gifts, purchases and by transfers from the existing Joyner
Library Fantasy Literature collection.
The collection aims to attract general readers as well as bibliographic
specialists. Access to the Schlobin
Collection printed materials is available through the Joyner Library online
catalog. Access to the Schlobin
Collection manuscript materials is also available through the East Carolina
Manuscript Collection Guides at: http://digital.lib.ecu.edu/special/ead/.
(Revised 5-25-06)
G. University Property
Faculty members and other employees are not
permitted to hold classes, workshops, or other such projects in university
buildings or to use university equipment for private gain. All classes or instructional
projects involving any collection of money are to be handled through the
business office. See Part VI, General
Personnel Information.
Faculty members concerned about the physical
appearance of their classrooms should report housekeeping laxness to the unit
head. Faculty members should assist security personnel by exercising concern
for university facilities. Outside door keys are available to faculty members
to allow convenient access to work areas during the hours buildings are locked.
The responsibility for proper use of a key rests with the person to whom it is
assigned. A faculty ID card must be presented to security personnel upon
request. Faculty members may obtain a key to the door of the building in which
their offices are located by presenting a properly signed request form,
available from the unit head, a deposit, and a valid faculty ID to Public
Safety. All keys must be returned at the termination of employment. Faculty
members must not use outside door keys to admit others and must make certain
that the door is locked when they leave. Office keys are obtained from the
university physical plant office. A request must be forwarded to Facilities
Services indicating the building name, the office number, and the individual to
whom the key is to be issued.
No property or equipment in the custody of or
belonging to
Inventoried furniture and/or equipment should
not be moved permanently from one location (building, department, room) to
another until such moves have been reported on an Equipment/Furniture Removal
Request form. This form should also be used when an item on inventory is stolen
or becomes obsolete due to wear or age.
Upon completion of
the request form, Materials Management will
notify the moving crew requesting that the move be made. The moving crew will not move inventoried
furniture or equipment unless they receive the completed removal request.
Equipment/furniture removal request forms may be obtained from the Central
Storeroom.
III. Curriculum Development (Link
to pending revisions, 09-05)
Curriculum development is a faculty responsibility.
Curriculum development in the academic affairs division is under the authority
of the chancellor and the provost. Curriculum development in the health
sciences division comes under the authority of the chancellor and the vice
chancellor for health sciences. Actions that require the approval of the
A. Who May Initiate
Curriculum Change?
Curriculum
changes include planning and establishing new programs, changing a program’s name,
moving programs, discontinuing programs, developing new courses and revising
courses and degree requirements. These changes may be initiated, prepared and
presented for review to all relevant ECU campus bodies by:
1. The
curriculum committee or faculty of the department or school that will house the
program.
2. The
department chairperson, school director or college dean of the department,
school or college that will house the program.
3. The provost
or the vice-chancellor of health sciences.
4. The chancellor.
B. Steps to follow, in order, in seeking campus approval to plan or
establish new programs, change a program’s name, move programs or discontinue
programs:
Obtain approval from the following:
1. Curriculum
committee of the department or school in which a program will be or is
housed (for proposals to create new
programs or to rename or discontinue existing programs) or curriculum
committees of the departments or schools in which a program is housed and
to which it may be moved (for proposals to move programs). Interdisciplinary
programs will obtain approval of curriculum committees in each of the units
that will or do support the program (for proposals to create new programs or to
rename or discontinue existing programs) or the curriculum committees of the
units that support the program and that may support the program (for proposals
to move the program).
2. Voting faculty of the department or
school in which a program will be or is housed
(for proposals to create new programs or to rename or discontinue
existing programs) or voting faculty of the departments or schools in
which a program is housed and to which it may be moved (for proposals to move
programs) and the code unit voting faculty of the department(s) or school(s),
if not identical with the department voting faculty.
3. Chairperson or director of the
department or school in which a program will be or is housed (for proposals to create new programs or to
rename or discontinue existing programs) or chairpersons or directors of
the departments or schools in which a program is housed and to which it may be
moved (for proposals to move programs).
4. Curriculum committee of the college in
which a program will be or is housed
(for proposals to create new programs or to rename or discontinue
existing programs) or curriculum committees of the colleges in which a
program is housed and to which it may be moved (for proposals to move
programs).
5. Dean of the college in which a program
will be or is housed (for proposals to
create new programs or to rename or discontinue existing programs) or deans
of the colleges in which a program is housed and to which it may be moved (for
proposals to move programs).
6. Provost or the vice-chancellor for
health sciences, as appropriate.
7. Academic Council.
8. Educational Policies and Planning
Committee:
(a) for a Notice
of Intent to Plan, a Request for Authorization to Plan a Degree Program
or a Request for Authorization to Establish a Degree Program the
Educational Policies and Planning Committee makes a recommend to the chancellor
and reports its recommendation to the
(b) for a
request to change the name of a program, move a program or discontinue a
program, the Educational Policies and Planning Committee reports its
recommendation to the
9. Chancellor.
The chancellor shall, at his or her
discretion, communicate to the OP his or her intention or request with respect
to instructional program developments and changes whose implementation requires
authorization by the OP and BOG.
Final approval of the
Certificate of Advanced Studies rests with the chancellor, after he or she
receives notification of approval of the program by the State Board of
Education. The chancellor of the
institution then notifies the OP senior vice president for academic affairs of
the approval of the Certificate of Advanced Studies.
C. Program
Development.
Program
development is governed by policies and procedures of the OP. These policies
and procedures are stated in OP Administrative Memorandum 406. Memorandum 406
can be found at the OP web site at http://intranet.northcarolina.edu/docs/aa/reports/plan_intent/Mem406.pdf.
To assist
institutions preparing to plan new programs, OP Division of Academic Affairs
provides a link to the CIP taxonomy (an up-to-date Academic Program Inventory
for UNC institutions at http://www.northcarolina.edu/content.php/aa/index.htm.
Institutions planning a new degree program will be expected to contact other
institutions awarding the proposed degree during the planning process regarding
their experience with program productivity (applicants, majors, job market, placement,
etc.).
C-1.
Kinds of Programs:
Degree Programs:
A degree program is a program of study in a
discipline specialty that leads to a degree in that distinct specialty area at
a particular level of instruction. All degree programs are categorized individually
in the University's academic program inventory at the six-digit CIP code level.
As a general rule, in order to be considered for degree program status, a
course of study should require coursework in the proposed program area of at
least: 27 semester hours at the undergraduate level; half the total hours
required at the master’s level; 21 semester hours at the doctoral level.
Anything less than this within an existing degree program should be designated
a concentration, a decision that can be made at the campus level.
Although in general a discipline specialty is
represented by a four-digit CIP, the level of disaggregation in some of the CIP
codes is such that consultation through Academic Affairs with the appropriate
staff person in the OP is recommended before submitting any request for a new
degree program if there are any questions about its classification or
categorization.
Certificate of
Advanced Study Programs (C.A.S.):
These programs usually require one year of study
beyond the master's degree and provide a higher level of licensure for public
school teachers and administrators. The basic licensure requirements for public
school teachers and administrators are defined by the State Board of Education.
It is the policy of the Board of Governors to use the designation
"Certificate of Advanced Study" with respect to all sixth-year
programs established for public school personnel and to authorize no Ed.S.
(Specialist in Education) degree programs beyond those now in existence.
Other Certificates:
These other certificates combine specific
degree-credit courses at the graduate or undergraduate level to provide
professional development for practitioners.
Teacher Licensure
Areas (T.L.A.)
These are specific course clusters in approved
teacher licensure areas which meet licensure requirements of the State Board of
Education but do not lead to the conferral of a particular degree or a
Certificate of Advanced Study. These may be at the entry level or advanced
level of teacher licensure. When an institution receives authorization to offer
a T.L.A. from the State Board of Education, the senior vice president for
Academic Affairs should be notified. A current inventory of teacher licensure
programs approved by the State Board of Education is available from the North
Carolina Department of Public Instruction.
C-2. The Review Required for Creating Different Kinds of Programs:
Kinds of programs addressed herein:
Minors and Concentrations, Certificates of Advanced Study and Other Certificate
Programs, Baccalaureates and Master’s degrees, Doctoral degrees and First
Professional degrees in law, education, dentistry, medicine, pharmacy, and
veterinary medicine. For the procedure to be followed by the body seeking to
plan or establish one or more of the kinds of programs covered herein see the
appropriate sub-section below and Section III.B, above.
For Strategic
Planning, a letter of intent to plan a new program should be submitted to the
provost or to the vice chancellor for health sciences, as appropriate, prior to
preparing a Notice of Intent to Plan or a Request for Authorization
to Plan a new program.
(i) Minors and concentrations:
(a) Campus
approval is not required in order to plan.
(b) Campus review of the material presented in a proposal to establish a minor
or concentration that states the requirements of and justification for the
minor or concentration (see the steps listed in III.B, above).
( c ) The authority to establish new minors and concentrations is
delegated to the ECU chancellor by the OP.
(ii) Certificates of Advanced
Studies or other certificate programs:
(a) Campus
review and approval of the material presented in a Notice of Intent to Plan
document (see Section C-3, below) is required prior to beginning to plan. To
initiate campus review, follow the steps listed in Section III.B, above. Upon approval by the
chancellor, a Notice of Intent to Plan is submitted to the OP. (See
Administrative Memorandum 406, Appendix A.)
(b) Notification of intent to plan may be sent to the OP
Division of Academic Affairs at any time but must be sent at least six months
prior to the date of establishment.
(c) Authorization
to establish new Certificates of Advanced Study is delegated to the chancellor,
who should notify the OP senior vice president for Academic Affairs when the
program has been approved by the State Board of Education and the date of
program implementation established. The chancellor should also notify the
senior vice president when other certificates (e.g., the combination of
specific degree-credit courses to provide professional development for
practitioners) are established, providing the title of the certificate and the
title and level of courses included in the certificate.
(iii) Baccalaureate and Master’s
programs:
(a) Campus
review and approval of the material presented in a Notice of Intent to Plan
document (see Section C-3, below) is required prior to beginning to plan. To
initiate campus review, follow the steps listed in Section III.B, above. Upon approval by the
chancellor, a Notice of Intent to Plan is submitted to the OP. (See
Administrative Memorandum 406, Appendix A.)
(b) Notification of intent to plan may be sent to the OP
Division of Academic Affairs at any time but must be sent at least six months
prior to the proposed date of establishment. Following submission of the
Notice of Intent to Plan to the OP,
(c) Campus
review and campus, OP and BOG approval of the material presented in a Request for Authorization
to Establish a New Degree Program document is required prior
to establishing a new baccalaureate or master’s program (see Section C-4, below, and OP
Administrative Memorandum 406, Appendix C.). To
initiate review, follow the steps listed in Section III.B, above. A request to
establish a master’s or C.A.S. program also will be submitted to the
(d) Upon approval by the
chancellor, the chancellor notifies the OP senior
vice president. The BOG has final statutory responsibility to authorize
changes in the academic programs of the constituent institutions.
(iv) Doctoral and First
Professional programs:
(a) Campus
review and approval of the material presented in a Request for Authorization
to Plan document is required prior to beginning to plan (see Section C-3,
below and OP Administrative
Memorandum 406, Appendix B). To initiate campus
review, follow the steps listed in Section III.B, above. With the
approval of the chancellor, a Request for
Authorization to Plan may be submitted to the OP.
(b)
Requests for authorization to plan may be submitted annually to the OP by a
fixed date established by the OP senior vice president for Academic Affairs.
Upon approval by the chancellor, the OP senior vice president receives the plan
and the Board of Governors decides whether to grant authorization to plan.
Following authorization to plan,
(c) Campus review and
campus, OP and BOG approval of the material presented in a Request for
Authorization to Establish a New Degree Program document is required prior
establishing a new program (see Section C-4, below, and OP Administrative
Memorandum 406, Appendix B.). To initiate review, follow the steps listed in
Section III.B, above. A request to establish a doctoral or first professional
program will be submitted to the
(d) Upon approval by the
chancellor, the chancellor notifies the senior vice
president in the OP. The BOG has final statutory responsibility to
authorize changes in the academic programs of the constituent institutions.
(v)
New Degree Program Classified with the Same Six-Digit CIP Code as a Currently
Authorized Program at the Same Level:
Requests for
authorization to establish a new degree program that would be properly
classified with the same six-digit CIP code as a currently authorized program
at the same level, provided it will require no additional resources, may be
made at any time by letter from the chancellor to the OP senior vice president
for Academic Affairs. The
review process is the same as listed in C-2(iv) immediately above. (See Section
C-4, below, and OP Administrative Memorandum 406, Appendix D.)
Upon
receipt of the notification of intent to plan or request for authorization to
plan, the OP division of academic affairs will 1) acknowledge receipt of the
notification; 2) provide any additional information not yet posted regarding
location of similar programs; and 3) add this program-planning activity to a
list that will be maintained by Academic Affairs and made accessible to all UNC
institutions. All UNC institutions are expected to consult this list
periodically to remain informed about programs being planned by other UNC
institutions.
Authorization from the OP to plan a new degree
program does not constitute a commitment on the part of the Board of Governors
to approve a subsequent request to establish the program. Such authorization
constitutes clearance for the institution to document and further justify the
need and demand for the proposed program. After an
institution receives authorization to establish a new degree program from the
OP, it must submit two progress reports to the OP senior vice president. The
first such report will cover the first one to two years of implementation, and
the second report will cover the first three to four years of operation of the
program. Both reports will include information on the extent to which an
institution has met projected enrollments and degrees conferred and, if
start-up funds were provided, will report on the readiness of the program to
continue once start-up funds are discontinued (generally, at the end of the
third year). These reports will be submitted as a part of the institution's
biennial long-range planning submission.
C-3. The Notice of Intent to Plan and the Request for Authorization
to Plan:
To request permission to plan a new program, a document entitled “Notice of Intent to Plan”
is prepared for undergraduate, master’s, C.A.S. and other certificate programs
(see OP Memorandum 406 Appendix A). A
document entitled Request for Authorization to Plan is prepared for
doctoral and first professional degree programs (see OP Memorandum 406 Appendix
B). The appropriate document is
submitted to the curriculum committee of the department in which the program
will be housed. See section III.B, above, for a list of the steps to be
followed when seeking campus approval of a request for permission to plan or a
request for authorization to plan a new program. The Notice of Intent to
Plan or Request for Authorization to Plan shall describe the
proposed degree program and how it fits into the institution’s mission and
strategic plan. This document shall
present a justification for the program’s duplication of other programs if
similar programs already exist in the UNC system.
A Notice of Intent to Plan or Request for Authorization
to Plan document shall include all information requested by the OP as well
as evidence that the planned degree activity is a priority in the unit’s
strategic/operational plan, the relevant school and college strategic plan, the
appropriate division strategic plan (academic affairs or health sciences), and
the ECU strategic plan. In addition,
preliminary budget projections must indicate that the proposed program will
generate at least enough student credit hours to support itself or explain how
it will generate additional non-enrollment based resources to cover the balance
needed to support the program. Finally,
the document shall include evidence that the administrators of other academic
and administrative units that may be affected by the implementation of the new
program have been consulted. These
administrators include, but are not limited to, department chairs, school
directors and college deans, the library director(s) (Joyner and/or Laupus),
the director of information technology and computing services, and the director
of planning and institutional research.
If the request is for a post-baccalaureate program, additional
information may be required by the Graduate School Administrative Board.
C-4. The Request for Authorization to Establish:
After the Notification of Intent to
Plan has been filed with the OP or
when the OP grants a Request for Authorization to Plan, the provost will
advise the group responsible for the Notice of Intent to Plan or for the
Request for Authorization to Plan to create a proposal requesting
authorization to establish the new degree program (excepting minors,
concentrations and C.A.S. programs, none of which requires OP approval). The
proposal shall address the following concerns: program description, program
justification, projected enrollment, degree requirements, faculty required to
deliver the program, library resources required, facility resources required,
and budget resources required to deliver the program. Budget projections must
indicate that the proposed program will generate enough student credit hours to
support itself or explain how it will generate additional non-enrollment based
resources to support itself.
In
general, the OP expects that funding to support new degree programs will be
provided through a combination of internal reallocations, enrollment increase
funds, and external grants. Where appropriate (i.e., in cases where there is
convincing evidence of potential for program success if initial support is provided)
and when central funds are available, start-up funds may be provided, generally
for no more than three years, with the expectation that the program will
ultimately be self-sustaining and the start-up funds will be returned and
recycled for the use of other UNC programs. In cases where the allocation of
start-up funds is appropriate but they are not immediately available,
recommendation from the OP of approval of the program may be delayed until such
funds are available.
The persons responsible for creating the
proposal requesting permission to establish a new program shall consult with
the administrators of other academic and administrative units that may be
affected by the implementation of the new program. These administrators include, but are not limited
to, department chairs, school directors and college deans, the library
director(s) (Joyner and/or Laupus), the director of information technology and
computing services, and the director of planning and institutional research. A
record of the outcome of said consultations will be included in the
proposal.
If the request is for a
post-baccalaureate program, additional information may be required by the
Graduate School Administrative Board. In
addition to submitting the proposal to establish a new degree program for
approval, the proposed degree requirements and any new and/or revised courses
must be submitted to the appropriate curriculum committees for approval.
Requests for authorization to establish a new
degree program that would be properly classified with the same six-digit CIP
code as a currently authorized program at the same level, provided it will
require no additional resources, may be made at any time by letter from the
chancellor to the senior vice president for Academic Affairs. (This category of
program is comparable to what was formerly called a "track." To avoid
the confusion that prevailed in the past over this designation, that term will
no longer be used. However, programs with the characteristics of a track [e.g.,
a common "core" of courses shared with the other program in that CIP
code, but differentiating by as much as 27
s.h. (baccalaureate) or 50 percent (graduate)] may be
authorized by the senior vice president.) A copy of the curriculum of the
current degree program should be submitted along with the curriculum of the
proposed new degree program. It should be consistent with the guidelines for
the number of semester hours in the program area (OP Administrative
memorandum 406, Appendix C, Section 3). The format
for requesting authorization to establish a new degree program in the same area
as a previously authorized degree program is included in Appendix D of
Administrative memorandum 406.
D. Changes to Existing Programs.
D-1. Request for authorization to change the name or title of an existing
program.
(i) The campus review of a request to change a
name or title of a degree program follows the steps in Section III.B, above.
(ii) Upon approval by the
chancellor, the chancellor notifies the senior vice
president in the OP. The BOG has final authority to authorize a change
in the name or title of a degree program.
D-2.
Moving an Academic Degree or Certificate Program
(i) The review of a request to move a program
follows the steps in Section III.B, above.
(ii) After the request
for authorization to move a degree program goes through the campus review
procedures and is approved by the chancellor, the chancellor notifies the OP
senior vice president.
D-3.
Discontinuation of an Academic Degree or Certificate Program
Recommendations to
discontinue initiated on campus (see III.A,
above) follow the procedures in (a), below. Recommendations to discontinue a
program identified by the BOG as failing to meet its productivity criteria
follow the procedures in (b) below.
(a) Discontinuation
recommendation initiated on campus:
(i) The review of a request to discontinue a degree program follows the
steps in Section III.B, above.
(ii) After the request for authorization to discontinue a degree
program goes through the campus review procedures and is approved by the
chancellor, the chancellor notifies the senior vice president in the Office of
the President.
(iii)
Requests for authorization to discontinue a degree program may be made by
letter from the chancellor to the OP senior vice president at any time, giving
the effective date of discontinuation and explaining the reason for the
request. The senior vice president will request the concurrence of the
Committee on Educational Planning, Policies, and Programs and (through it) the
approval of the Board of Governors. Students enrolled in discontinued degree
programs must be allowed to complete their courses of study within a reasonable
period of time. Notice of discontinuation of C.A.S. programs or other
certificates may be submitted to the senior vice president for Academic Affairs
at any time. The party initiating the request to discontinue a program will
prepare a statement of justification.
(b)
Discontinuation recommendation resulting from BOG low productivity review:
(1) Review Criteria:
As part of its preparations for revision of the UNC BOG,
Plan the Office of the President conducts a review of academic program
productivity. This review is conducted in the spring of odd-numbered years. The
Guidelines and Criteria used by the OP to identify programs with low
productivity are as follows:
(i) Bachelor's degree programs: the number of
degrees awarded in the last two years is 19 or fewer -- unless upper division
enrollment in the most recent years exceeds 25, or degrees awarded in the most
recent year exceeds 10.
(ii) Terminal master's degrees: the number of
degrees awarded in the last two years is 15 or fewer -- unless enrollment in
the most recent years exceeds 9. Ed.S. and CAS programs: the number of
certificates awarded in the last two years is 15 or fewer -- unless enrollment
in the most recent year exceeds 9.
(iii) Doctoral degree programs: the number of
degrees awarded in the last two years is 5 or fewer -- unless enrollment in the
most recent year exceeds 18, or the number of degrees awarded in the most
recent year exceeds 2.
(2) Review Procedures:
(i) Notification of the programs to
be reviewed usually occurs in February of odd-numbered years with the full
campus response being due to OP in mid-May.
(ii) Once the campus is notified
that a program needs be reviewed at the system level, the administrator of the
unit housing the program is asked to prepare a response to the low productivity
notification.
(iii) The faculty associated with
the program shall be consulted by the unit administrator in preparing the
response.
(iv) The response is forwarded to
the provost or to the vice chancellor for health sciences, as appropriate.
(v) If a decision is made by the
provost or to the vice chancellor for health sciences to discontinue a program,
the response and the justification for the decision is forwarded to the
Educational Policies and Planning Committee.
(vi) The Educational Policies and
Planning Committee makes a recommendation to the chancellor and reports its
recommendation to the
(vii) The chancellor shall communicate to the OP
his or her recommendation with regard to any program whose discontinuation
requires OP and BOG authorization.
E. Development of New Courses and Revision
of Courses and Degree Program Requirements
Recommendations for new courses, course revisions, changes
in degree requirements, new and revised degree concentrations/options, academic
concentrations, changes in admission requirements to degree programs, creation,
deletion or revisions to minors and honors courses and programs may originate
in the various departments, schools and colleges, within
interdepartmental committees, or at the dean or provost level.
Undergraduate programs and courses (numbered 4999 and below)
require approval by the following: code unit curriculum committee and voting
faculty, the college or school curriculum committee (if the college or school
is not the code unit and has a curriculum committee), the University Curriculum
Committee, the
Graduate programs and courses (numbered 5000 and
above) require review by the following: code unit graduate curriculum
committee, the Graduate Curriculum Committee, the Graduate Administrative
Board, the provost or the vice-chancellor for health sciences, as appropriate,
and the chancellor.
(Faculty Senate Resolution #03-29, April 2003)
PART VI
GENERAL PERSONNEL
POLICIES
CONTENTS
I. Employment Policies
A. Appointment
B. Collection of Money
C. Employee
Involvement in Political Candidacy and Office Holding
D. Leaves of Absence
E. Orientation of New
Faculty
F. Promotion
G. Resignation and
Re-appointment
H. Phased Retirement
I. Retirement
J. Salary Policies
K. Tenure
L. Travel and Expense
Allowances
II. Welfare and Benefits
A. Hospitalization
Insurance
B. Disability Income
Plans
C. Mandatory
Enrollment in Group Life Program
D. Group Insurance
Plans
E. Social Security
F. Deferred
Compensation Plan
G. Supplemental
Retirement Income Plan of NC (401K)
H. Tax Deferred
Annuity
I. US Savings Bonds
J. Unemployment Compensation
Benefits
K. Vacation and Sick
Leave
L. Workers’
Compensation
M. Flex
Reimbursement Accounts
III. Institutional Services Available to
Faculty
A. Academic Apparel
B. Admission to
Athletic Events
C. Cardiovascular
Disease Risk Factor Identification/Reduction Program
D. Central Ticket
Office
E. Computing and
F. Continuing
Education
G. Credit Union
H. Dining Services
I. Grants, Contract,
and Cooperative Agreements
J. Housing
K.
L. Police Department
M. Post Office and
Campus Mail Service
N. Radiation Safety
O. Recreational
Services
P. Supplies,
Equipment, and Contractual Services
Q. Telephone Service
R. Tuition Privileges
for Faculty
IV. Employment of Related Persons (Formerly Appendix H)
V. External
Professional Activities of Faculty and Other Professional
Staff (Formerly Appendix Q)
VI. Equal Employment Opportunity/Affirmative
Action Policy (Formerly
Appendix K)
VII. Other Policies
A. Substance Abuse
Policy (Formerly Appendix T)
B. Weapons Policy
C. Serious Illness and Disability Leave for
Faculty Policy
VIII. Frequently Asked Questions about Faculty
Personnel Records
I. Employment Policies
It is a policy of the university throughout the campus and
all its branches, divisions, departments, facilities, and activities that firm
and positive steps be taken by all supervisory and management personnel to
prevent any discriminatory employment practices; and that affirmative action
will be taken to ensure that applicants for employment will be considered and
employed based on actual job requirements; and that all personnel matters
pertaining to employment, placement, training, upgrading, promotion, demotion,
transfer, layoff, termination, and salary administration will be conducted in a
nondiscriminatory way without regard to race, color, national origin, religion,
veteran’s status, gender, age, sexual orientation, political affiliation, or
disability. (
The general faculty shall consist of all full-time members
of the teaching, research, or administrative staff who hold a professorial
rank, including those on special faculty appointment. Adjunct members of the faculty do not receive
benefits normally associated with full-time employment, nor does such service
count toward the attainment of a tenured position. Teaching fellows are not formal members of
the university faculty.
A. Appointment
See Appendix C, Personnel Policies and Procedures for the Faculty of
B. Collection of Money
No individual or department of the university may collect
any money without being authorized to do so by the business office, and reports
of all such collections, when authorized, shall be made on forms provided by
the business office. All money collected
shall be turned in to the business office promptly for deposit. All disbursements are to be made by check
drawn by the business office. The foregoing regulation by the board of trustees
applies to university funds and does not apply to civic and charitable fund
campaigns. Collections of funds for special instructional materials, such as magazines,
should be made by a designated student and not a faculty member.
C. Employee
Involvement In Political Candidacy and Officeholding
Policies adopted by the Board of Governors in 1976 and
conforming policies adopted by the Board of Trustees in 1994 establish
processes for resolving, in advance, questions about possible conflicts between
a University employee's satisfactory performance of employment responsibilities
and his involvement in political candidacy and officeholding. All University
employees except those subject to the State Personnel Act are covered by the
policies. An employee who intends to become a candidate for election or
appointment to or to hold any public office is responsible for knowing the
terms of and complying with the requirements
of these policies. A copy of the full text of the policies along with
instructions and forms to be used to comply with the policies may be obtained
from the University Attorney. The instructions include deadlines which must be
followed. Any petitions required by these instructions should be submitted as
early as possible, but no later than the following:
For affected academic Completed
petition to be Completed
Petition
periods beginning: received
by Chancellor: to
be received by board:
*January (e.g., for a October
15 of preceding year November
1 of preceding year
May primary contest)
*May/June (e.g., for fall March
15 April
1
elections affecting
summer
employment)
*August/September (e.g., June
15 July
1
for fall general
election)
*Other periods
90 days prior to 60
days prior to beginning
of period beginning of period
Failure to comply with the policies is a violation of the
terms and conditions of University employment and may result in disciplinary
action. The following is a summary of the basic provisions of the board
policies. The full text of the policies should be consulted by an affected
employee. Advice concerning the interpretation and application of the policies
may be obtained from the University Attorney.
1. Candidacy for
election to public office
Becoming a candidate for election to a full-time or major
part-time office is presumed to create a conflict of time that interferes with
the employee's satisfactory performance of University employment obligations.
The conflict may be avoided by (1) resigning from University employment, (2)
seeking an appropriate unpaid leave of absence from University employment, or
(3) rebutting the presumption of conflict by demonstrating that
there in fact will be no conflict between campaign activity
and University employment. An employee who intends to become a candidate must
follow prescribed procedures for resolving questions about conflicts in advance
of becoming a candidate.
2. Holding public
office
Upon assuming an elective or appointive full-time office, a
University employee will be deemed to have resigned his University employment,
unless prior to assuming office he requests and is granted a full leave of
absence, without pay. Such a leave of absence may not exceed two years.
Upon assuming an elective or appointive major part-time
office, a University employee will be presumed to have a conflict of time that
necessitates his resignation from University employment; the resignation
requirement may be avoided if (1) he requests and is granted an appropriate
leave of absence or (2) he rebuts the presumption of conflict by demonstrating
that there in fact will be no conflict between officeholding and University
employment. An employee who intends to occupy such an office must follow
prescribed procedures for resolving questions about conflicts in advance of
assuming the office.
D. Leaves of
Absence
A faculty member may take a leave of
absence for one or more semesters (normally not more than two academic years or
more often than once in three years.) The leave can be with salary or without
salary, depending on the type of leave and the advance approval for the leave
of absence.
A faculty member who is requesting a professional leave of
absence for one semester (or appropriate period of time for the
There are generally 3 types of
leaves of absence.
1. Professional
leave. This type of leave is granted to give a
permanently tenured faculty member
opportunities for research,
advanced
study and/or professional growth. For probationary-term faculty members, this type of leave allows faculty
members to
accept
competitive awards in programs such as the Board of
Governors
Doctoral Assignment Fellowship, Fulbright Fellowship,
or
Fogarty Fellowship programs, allowing research or advanced
study
opportunities.
2. Personal leave. Faculty members may
request personal leave for
purposes such as illness,
childbirth, and/or child care.
3. Public service leave. A faculty member may
run for political office,
serve in appointed or elected public
office, or serve in an appointed
professional office and use
this type of leave.
Policies governing this type of leave are explained in the ECU Faculty Manual,
Part VI., Section 1., Employee Involvement in Political Candidacy and
Officeholding. A leave of absence for the purpose of holding public office may
not exceed two years. Any requests for
leave of absence must be made in writing, in accordance with unit codes and
with ECU Faculty Manual, Appendix D. Tenure and Promotion Policies and Procedures
of ECU. Requests must accompany the personnel recommendation form. Leaves of
absence are subject to Appendix D.,
Section II.C.3. Extensions of the Probationary Term. For faculty members who do not have tenure,
a period of leave might not count as a part of the probationary period. The
tenure decision might be postponed for a period as specified in Appendix D.,
Section II.C.3. Since leaves are often
granted under circumstances that place an ethical obligation on the recipient
of such leaves to return, the faculty member on leave should observe the same
rules regarding adequate notice of resignation as found in Appendix D, II.A.5.,
Notice of Resignation. The returning faculty member's pay will begin in the
semester in which he or she returns from leave. The contract between the
faculty member on leave and the university will be renewed. Raises and
promotions awarded during the period of leave will be placed into effect at the
time that the faculty member returns from leave. While on leave, the faculty
member will have the opportunity to maintain group life, health, and total
disability insurance consistent with the policies of the university. It should
be noted that if the health insurance is not continued while on leave of
absence, the employee and dependents will be subject to a preexisting clause
for any medical condition, whether diagnosed or not, for one year upon their
re-enrollment in the plan. (
E. Orientation of New
Faculty
During the opening week of school, new faculty attend an
announced meeting for the purpose of acquainting them with the chancellor and
key administrative personnel and their responsibilities and with the
relationship between faculty and administration. After this meeting,
orientation of new faculty is continued throughout the year by deans and
chairpersons who assist the faculty in becoming acquainted with the practices
and procedures of the university. Orientation of new faculty who are appointed
on a part-time basis will take place within their respective departments and
will include receipt of and discussion of the departmental part-time faculty
information sheet, as well as access to the complete ECU Faculty Manual.
F. Promotion
See Appendix C,
Personnel Policies and Procedures for the Faculty of
G. Resignation and
Re-appointment
See Appendix D, Tenure
and Promotion Policies and Procedures of ECU.
H. Phased
Retirement September 2007 Update
Participation in
I. Retirement
1. Insurance
All full-time employees of the university with a permanent
appointment must participate in the North Carolina Teachers' and State
Employees' Retirement System with the exception that employees who hold faculty
rank are eligible to choose between the North Carolina Teachers' and State
Employees' Retirement System (TSERS) or the Optional Retirement Program (ORP).
When first employed or when given a permanent appointment, all employees should
contact the department of Human Resources to be enrolled in the retirement
system. Once the eligible employee has
made a choice and enrolled in the system he or she selects, the decision will
be irrevocable. It is not possible to
change from one program to the other during employment in an eligible
position. All members of TSERS or ORP
will contribute 6 percent of their earnings, including summer session
salaries. All retirement contributions
to either TSERS or to ORP are tax sheltered from federal and state withholding
taxes. For those who teach a regular nine-month school term and who are active
members of TSERS, one year of creditable service is allowed for retirement
purposes. The employee in TSERS should apply for retirement benefits at least
thirty days but not more than ninety days prior to the effective date. Arrangements for retirement should be made at
the university department of Human Resources.
For those in ORP, individual guidance from the ORP representatives is
always available. A few months before
retirement age, the employee will receive information and specific figures for
options in regard to retirement benefits from ORP. (FS Resolution #07-26,
December 2007)
Employees who retire under either the optional retirement
program (ORP) or the North Carolina Teachers' and State Employees' Retirement
System and who are eligible to receive benefits through the NC Comprehensive
Health Benefit Plan must complete an application in the university department
of Human Resources for transfer of health benefit coverage from the active
employee group to the retiree group. Transfer is required for continuation of
health insurance benefits upon retirement.
Any premium due for coverage of dependents may be deducted from the
monthly retirement benefit check for those who are members of the North
Carolina Teachers' and State Employees’ Retirement System.
Additional information about the two retirement systems is
given below:
a. TSERS
The university is required to contribute 10.83 percent of
all employee salaries that are subject to retirement deductions. A part of this percentage is for accrued
liability incurred by the retirement system's pension fund, death benefit trust
fund, and retirees' health care benefits. Some of the key points for
eligibility for certain benefits are as follows:
1) Monthly
payments at retirement are based on salary, age, and years of credit
2) Unreduced
retirement benefit at age sixty-five with five years of credit, or at age sixty
with twenty-five years of credit, or at any age with thirty years of credit;
reduced benefit after age fifty and twenty years of credit, or at age sixty
with five years of credit
3) A
right to a reduced benefit at age sixty after five years of credit, regardless
of whether the employee is working
4) In
the event of the employee's death, the beneficiary will receive a refund of the
employee contributions with interest. If
the employee dies in active service (while being paid salary or within 180 days
after salary payments cease) after completing twenty years of service credit
regardless of age or reaching age sixty with five years of service credit, the
principal beneficiary named to receive a refund of contributions and interest
(provided only one person is named) may choose to receive a monthly benefit for
life instead of a refund of contributions with interest. This is known as the
survivor's alternate benefit. If two or more persons or an estate is named
as beneficiary, the survivor's alternate benefit does not apply.
5) If
an employee dies while still in active service (while being paid salary), after
one year as a contributing member, the beneficiary will receive a single lump
sum payment known as the death benefit. This payment equals the highest twelve
months salary in a row during the twenty-four months before death.
6) Coverage
in the NC Disability Income Plan as described in the state retirement
book. Employees should maintain a
current record of designation of beneficiary with the TSERS. Any changes regarding the designated
beneficiary may be made at the university department of Human Resources. In the
event that the employee terminates his or her services with the university
without qualifying for retirement benefits, he or she may with draw the portion
of accumulated retirement
contributions or may leave the accumulated contributions on
deposit with TSERS. After a refund has
been made, the employee forfeits all credit for years of service earned during
past employment.
b. Optional
Retirement Program (ORP)
The university will contribute 6.66 percent on all earnings
paid the employee. Both the employee's
contribution and the university's portion will be placed on deposit with ORP
account. Funds will be distributed as
requested by the employee at the time he or she is enrolled. Some of the key
points of the Optional Retirement Program are as follows:
1) Premiums
are invested in fixed common stock funds and variable accounts as decided by
the employee.
2) Ownership
of an ORP account is immediate for the employee’s funds but require a five-year
vesting period for the University contributions. The annuities do not provide
use for collateral on a loan. If an
employee leaves the University before completing the five-year vesting period
and is employed with another University or college that does not offer
participation with one of the current Optional Retirement Program carriers for
ECU, the following options would be available:
a. The employee could repurchase his/her
investment.
b. The employee could elect a 12-month
delay option. If
re-employed within 12 months
from date of separation
at ECU with a University or
college that offers
participation with one of the
ORP carriers, all funds
contributed to the ORP carrier
during employment
with ECU would be vested immediately.
c. The employee could leave his funds in
the ORP
account and ECU would receive
reimbursement for its contribution.
If
an employee leaves the University before completing the five-year vesting
period and is employed by a University or college that will allow him/her to
participate with a like ORP carrier at ECU, all funds are immediately vested.
3) ORP
contracts do not contain a disability benefits provision. A disabled participant may wish to start
annuity income payments with the amount of income depending upon the same
factors that determine the amount of income if benefits began under normal
circumstances.
4) In
the event of death of the employee, the full current value of ORP contract,
including the portion bought by the employers, is paid as an income to the designated
beneficiary. There is no additional
death benefit provision under ORP.
5) There
are several options provided by ORP to the employee at retirement time.
6) Employees
enrolled in ORP are provided coverage under the NC Disability Income Plan as outlined
in the state retirement handbook. Participation is based upon the same factors
as if the employee enrolled in TSERS.
2. Privileges for
Retired Faculty
a. The
following privileges are awarded to retired faculty:
1) Use
of campus addresses that include a post box and electronic mail account for a
period of at least one year, subject to availability. After the initial one year period, electronic
mail accounts will be deactivated if they are not used for a 90-day
period. If the retiree does not request
activation of the account within 90 days of deactivation, the University will
remove the account from the email system.
(University
Administrative Policy #1.902)
2) Right
to be included in the University catalogues and directories.
3) Continuance
of eligibility to take one course per semester without fees, subject to class
availability.
(Prior
to age 65, retired faculty are not eligible to participate in the system-wide
tuition waiver program. As stated in the
university catalogs, “persons 65 years of age or older who meet the
requirements for in the in-state rate of tuition and the university
requirements for admission can have their tuition and fees waived provided
space is available in the requested course{s}”.)
4) Access
to library services under the same conditions as active faculty, subject to
space availability.
5) Continuance
of eligibility to purchase tickets to inter-collegiate athletic, cultural, and
entertainment events under the same conditions as active faculty.
6) Access
to the University Employee Assistance Program and Provider Directory when such
services are available (
(7) University
identification card upon request.
8) Fully
retired faculty may request a free B parking permit and may also park in spaces
designated "Retired Faculty." Faculty in phased retirement and
retired faculty who are re-employed by the university may request a free B
parking permit and may upgrade the B permit to
an A permit (by paying the price difference between an A and a B permit) while
bypassing the wait-list, but may not park in spaces designated "Retired
Faculty. (
b. Upon
the recommendation of the unit personnel committee, unit head, appropriate
dean, and appropriate vice chancellor, the chancellor may grant the faculty
retiree emeritus status (as defined in Appendix C.) which includes the items
listed above under Section I.I.2.a. and, in addition, the following privileges:
1) Access
to recreational facilities under the same conditions as active faculty.
2) Continuance
of eligibility to march, wearing appropriate regalia, in University
commencement exercised and other University formal processions, as active
faculty.
(FS Resolution #07-26, December
2007)
J. Salary Policies
Faculty annual salaries are paid semimonthly. New employees
receive the first check on the last work day of September. Checks are distributed to each department by
special messenger in the morning on the 15th. and last day of each calendar
month. When the 15th. or last day of a
month falls on a nonwork day for the business office, distribution of checks
will be made on the last work day prior to that day. Arrangements may also be made with the
payroll office to have checks deposited in a local bank to the faculty’s
account. Salaries for summer term teaching are paid at the close of each
term. Federal income tax is withheld on
the basis of information furnished to the payroll office on US Treasury
Department Form W-4. It is the
responsibility of the employee to furnish the payroll office with a revised
Form W-4 if the number of withholding exemptions is changed due to deaths,
births, or other reasons. Since
withholding exemptions are applied to the regular salary of
the individual, the withholding tax on supplemental salaries for summer term,
extension teaching, etc., must be calculated without benefit of
exemptions. In January of each year,
each employee will receive from the payroll office receipts, US Treasury Department
Form W-2 and NC Department of Revenue Form NC-2 for income taxes withheld for
the previous calendar year.
State income tax is withheld on the basis of
information furnished to the payroll office on North Carolina Department of
Revenue Form NC-4. It is the
responsibility of the employee to furnish the payroll office with a revised
Form NC-4 if the number of withholding exemptions is changed due to deaths,
birth, or other reasons. If supplemental
wages such as bonuses, commissions, or overtime pay are paid at the same time
as regular wages, the income tax to be withheld is determined as if the
aggregate of the supplemental and regular wages were in a single wage payment
for the regular payroll period.
For a full-time member of the faculty or EPA
professional staff, the salary approved by the Board of Governors is the full
compensation to be expected during the period of employment. No additional
payments may be made for university duties that are generally related to the
position to which the individual is appointed. The period of appointment
includes all formal holidays and interludes during which no classes are
scheduled.
Regardless of the salary source, total compensation
paid during the period of appointment cannot exceed the salary amount
authorized in the current academic salary increase document, except for
extraordinary situations that must be approved in advance by the appropriate
vice chancellor
Total Compensation: An
individual’s total annual salary compensation from all university sources may
not exceed 133% of the annual nine-month base salary or 100% for a twelve-month
employee during the twelve-month contract period without prior authorization
from the appropriate vice chancellor.
Bonus amounts awarded to EPA or CSS employees as part
of the Clinical Faculty Compensation Plan or Management Flexibility Act are not
be included in the calculation of total annual salary compensation in the
determination of the above amounts.
Less Than Full-time Employees: Upon appropriate
approvals, individuals with appointments of less than full-time during an
academic year or fiscal year can increase their commitment up to full-time with
additional compensation. However, in no event may the effort of an individual
exceed full-time commitment unless specifically approved in advance; additional
compensation must be proportional to the base salary rate and not exceed
full-time equivalency unless specifically approved in advance.
Research/Creative Activity: It is expected that such
other proposed duties or tasks may require reduction in other planned
responsibilities of the faculty or professional staff member. For example,
arrangements may be made for reassigned time or research contract “buyouts” if
faculty members are to conduct sponsored program activities during the regular
academic year. Sponsored program activity does not normally constitute
extraordinary or exceptional projects for consideration for supplemental
payment.
Overloads: Effective August 1, 2002, overload stipends
for any purpose should normally be limited to one per academic year and only
after the appropriate dean has granted prior approval and notified their
appropriate vice chancellor. Pay rates for non-distance education overloads
will be equated to the annual nine-month salary rate; i.e., pay per credit hour
for overloads may not exceed the per credit hour nine-month rate based on a
twelve credit hour per semester full-time basis.
As per Administrative Memorandum 407, a second
overload stipend for distance education purposes may be granted during an
academic year, but only after prior approval from the appropriate vice
chancellor. Units must ensure that overloads are necessary and should reduce
reassignments for non-instructional purposes if at all possible prior to
authorizing an overload stipend. It is preferable that overloads be kept to a
minimum and be granted no more than once per academic year. Pay rates for
distance education overloads may not exceed the published rates for summer
school.
Summer Overloads: No overloads will be permitted
during summer school sessions except in extraordinary circumstances and with
prior approval. Compensation from any and all salary sources for summer
employment may be arranged not to exceed three-ninths of the previous year’s
nine-month annual salary base rate. The
pay rate from summer school funds and distance education summer school courses
will be based on a percentage of the nine-month rate up to a published annual
maximum per session. The specific rates
may be obtained through the office of the Provost.
Work for ECU Outside the Home Unit: Prior approval to
teach or perform other duties outside the faculty member’s home unit is
required from all involved administrative levels.
Salary Conversion Rate for Faculty Holding
Twelve-month Appointments: The salary of a faculty member holding a
twelve-month appointment will be converted back to a nine-month faculty salary
at the rate of 9/11ths of his/her twelve-month base salary. Exceptions to this
pattern may occur based on individual based negotiations depending on the level
of the position, experience, and other factors. The approval of the Chancellor
is required for such conversions to occur.
External Activities for Pay:
The policies covering Faculty and Professional Staff income derived from
external activities for pay are governed by Part VI. of the ECU Faculty
Manual. Individuals are expected to
comply with these policies that include seeking prior administrative permission
to the commencement of the activity and the filing of annual conflict of
interest statements at the end of the academic year. The External Activities
for Pay forms and the Conflict of Interest Forms are available at www.aa.ecmedu/forms. (
K. Tenure
See Appendix C,
Personnel Policies and Procedures for the Faculty of
L. Travel and Expense
Allowances
1. Statutory
Provisions Governing Travel and Expense Allowances
Under no circumstances may duplicate reimbursement be made
for that portion of an employee's expenses paid or reimbursed by a nonstate
source. All travel is contingent upon the availability of funds in the proper
budget subheads. Travel on official business by employees of
a. For
transportation by privately owned automobile, the employee will receive actual
cost of road, bridge, and ferry tolls paid and a set amount per mile if a state
car is not avail able and this is the cheapest method of transportation.
b. For
transportation by airline, bus, railroad, actual tourist class fare will be
allowed. Receipt for charges must be
attached to reimbursement form.
c. The
use of a rental automobile will be authorized only when it is the most
economical method of travel or it is the only feasible method of available
transportation. Approval for rental must
be obtained in advance. Receipt is
required for reimbursement.
d. Except
as otherwise provided by specific law, each state officer and employee
authorized to receive reimbursement from the state treasury for travel and
other expenses incurred incident to the performance of official duties shall be
reimbursed for such expenses only as described in the ECU Business Manual.
e. The
state regularly allows reimbursement for registration fees. However, the state will consider requests for
reimbursement over the maximum limit set. Requests, accompanied by a copy of
brochures, fee schedules, or other material listing the costs included in the
fee, should be made on the petition to travel and submitted according to the
designated deadlines.
2. State
Policies Regarding Travel
All travel must have written authorization. Full documentation and explanation are
required for all travel out of state and out of country. All reimbursement
requests shall be filed for approval and payment made with thirty days after
the end of the travel period for which reimbursement is being requested.
a. Private Cars
State employees may use their private cars at a set
reimbursement rate per mile if a state car is not available and air coach is
more expensive or not feasible and such use is to the state's advantage.
Reimbursement is limited to direct road map mileage between the stops on the
employees' itinerary. State employees on state business may use their private
cars for personal convenience at a set reimbursement rate or air coach rate,
whichever is less, with subsistence expense being
reimbursable only for the period required for airplane travel. Mileage rates
include all charges incurred of any nature except tolls. Receipts for tolls are required for
reimbursement.
Reimbursement may not be made for commuting between an
employee's home and his or her duty station. Any designation of an employee's
home as his or her "duty station" by a unit head shall require prior approval by the
office of State Budget and Management on an annual basis, no later than the
second week of December each year. The state auditor shall in the routine audit
of a department determine compliance with this provision. Generally,
reimbursement of expense for airport parking is limited to 48 hours with
receipt required for any charges. Reimbursement can be claimed for two round
trips to the airport or one round trip and parking. However, the reimbursable
parking charge cannot exceed the cost of the second round trip.
b. Taxis and
Limousines
The actual cost of taxi and limousine fares is reimbursable
when required for travel on state business.
Taxi fares are not reimbursable for inter-city transportation, except in
emergencies when no less expensive mode of transportation will be available
within a reasonable period.
c. Rental Cars
Use of a rental automobile will be authorized only when it
is the most economical method of available travel or it is the only feasible
method of transportation.
II. Welfare and Benefits
A. Hospitalization
Insurance
Hospitalization insurance is provided for full-time or
half-time permanent employees through a statewide self-insured program known as
the State of
B. Disability Income
Plans
1.
a. Short-term
Benefits
A participant is not entitled to receive any benefits from
the plan for a period of sixty continuous calendar days from the onset of
disability. The benefits are payable
after the conclusion of the waiting period for a period of 365 calendar days
provided the participant meets the following requirements:
1) at
least one year of contributing membership service in the retirement system
earned within thirty-six calendar months preceding the disability,
2) be
found to be mentally or physically disabled for the further performance of the
usual occupation, and
3) disability
must have been continuous and incurred at the time of active employment. The
monthly short-term benefit will equal 50 percent of 1/12th of the annual base
rate of compensation last payable prior to the beginning of the short-term
benefit period. The monthly benefit will be reduced by any monthly payments received
for workers' compensation (excluding permanent partial workers' compensation
awards).
b. Long-term Benefits
Payable after the conclusion of short-term disability period
or after salary continuation payments cease, whichever is later, for as long as
the participant is permanently disabled, but not after the participant becomes
eligible for an unreduced service retirement, provided he or she meets the
following requirements:
1) have
at least one year of contributing membership service in the retirement system
earned within ninety-six calendar months preceding the disability, prior to the
end of the short-term disability period.
2) make
application to receive long-term benefits within 180 days after the conclusion
of the short-term disability period or after salary continuation payments
cease, whichever is later,
3) be
certified by the medical board to be mentally or physically disabled for the
further performance of usual occupation,
4) disability
must have been continuous, likely to be permanent, and incurred at the time of
active employment, and
5) not
eligible to receive an unreduced retirement benefit from the Teachers' and
State Employees' Retirement System.
During the first thirty-six months of the long-term
disability period, the monthly long-term benefit will equal 65 percent of
1/12th of the annual base rate of compensation that was last payable prior to
the beginning of the short-term benefit period.
The monthly benefit will be reduced by any monthly payments received for
workers' compensation (excluding permanent partial workers' compensation
awards) and by any primary social security benefits the participant may be
receiving; however, the benefit payable will be no less than ten dollars a
month. Employees apply for benefits through the university department of Human
Resources. When the employee terminates
employment with the university or state, membership in the plan automatically
terminates.
2. TIAA Group
Long-Term Disability Insurance Plan
The TIAA Group Long-Term Disability Insurance Plan is
offered only to employees with academic rank who are members of the optional
retirement program. The employee may
subscribe voluntarily and make payment of the premium through payroll
deduction. The computation of premium
will be based upon total monthly compensation used for deduction of ORP
retirement contributions to include summer school pay. Highlights of the plan are:
a. Pays
a regular income when disabled and cannot work after a 90 day waiting period.
b. Replaces
up to 66 2/3% of your monthly wage base, to a maximum of $10,000 per month.
c.
Protects retirement by providing a
contribution equal to monthly contributions to the ORP carrier for investment.
d. Reflects
occupation in determining if disabled, as well as paying benefits if working
but unable to earn full wage base as a result of disability.
e. Pays
benefits for as long as disability continues up to the age 65 or even longer if
disabled after age 60.
f. Pays
a benefit to dependent if participant dies after receiving disability benefits.
g. Allows
conversion to an individual policy if participant terminates employment.
3.
Available to members of the Teachers’ and State Employees’
Retirement System. This is a long and
short-term disability insurance plan.
This is designed to fill in the gaps of the State’s disability plan- for
the first year of employment (since there is no coverage available under the
State’s plan); as a supplement during the State’s short-term period before and
after five years of service; and, in the event your salary exceeds the covered
maximum salary limit under the State’s short-term and long-term benefit
periods.
C. Mandatory Enrollment in Group Life Program
All new permanent employees employed
at least 75% are required to enroll in the ECU Group Life Program which is
based on age and salary at full cost to the employee. Preexisting conditions are waived upon
initial enrollment. An employee may
request cancellation of the policy and receive a refund of all premiums for his
or her individual coverage if requested within 60 days of the effective date of
coverage. The policy may be canceled
after that date but no refund of premiums will be granted.
D. Group Insurance
Plans
University employees who hold a permanent appointment on a
50% basis or above may subscribe to various types of group insurance by
voluntary payment of premiums through payroll deduction. The university department of Human Resources
is responsible for coordinating insurance plans offered to university employees
as underwritten by these companies.
Anyone interested in any of these plans should contact the university
department of Human Resources for more information. The various group plans are
life insurance (such as level term, decreasing term, permanent cash value,
accidental death and dismemberment), disability income insurance, dental
insurance, cancer coverage insurance, and intensive care insurance.
E. Social Security
All university employees, with the exception of students,
are subject to the provisions of the Federal Social Security Act that requires
a percentage contribution subject to the current Social Security law. This is a separate contribution from the
state retirement that cannot be withdrawn.
The amount paid by the employee will be matched by the university. All
state-owned agencies and institutions are considered one
employer under the Social Security law; therefore, if the employee receives
earnings from more than one agency or institution within the calendar year, it
should be brought to the attention of the university payroll department. Social Security benefits may be claimed at
the age of 62; however,
these benefits will be lower than the benefits received at
age 65, which is the age at which maximum benefits may be claimed. Retirement
benefits under the Social Security law will be based on average earnings
beginning with 1937, or beginning with 1951, whichever will allow the higher
benefit. There is also provided a broad
program of health insurance called Medicare for people 65 years of age and
over. One part of Medicare is hospital insurance, which helps pay for hospital
care and certain follow-up services. The other part is voluntary medical
insurance, which helps pay physician's fees and other medical bills. More
detailed information may be obtained from the local Social Security
administration office.
F. Deferred
Compensation Plan
The NC State Legislature approved in 1971 the establishment
of a deferred compensation for state employees whereby a portion of earnings
could be deferred by investment in the plan that would result in a deferment of
federal and state taxes. If any employee is interested in the plan, he or she
should contact the department of Human Resources for additional information.
G. Supplemental
Retirement Income Plan of NC (401K)
The State of
H. Tax Deferred
Annuity
Section 403(b) of the United States Internal Revenue Code
provides that the employees of
I. US Savings Bonds
Government bonds may be purchased through the payroll
savings plan by employees who are paid bimonthly. Applications may be acquired
from the university department of Human Resources.
J. Unemployment
Compensation Benefits
All university employees except student help are insured
against loss of work when it occurs due to lack of work. The department of
Human Resources will issue to the employee, upon termination of employment, a
separation notice that may be used to file a claim at the North Carolina
Employment Security Commission for any benefits due under the law. Unemployment
insurance is for unemployed workers who are qualified, ready, and willing to
work, and who are actively trying to find work.
It is not for persons who are unwilling or unable to work, or for those
who are on vacation or those who are ill.
K. Vacation
and Sick Leave
Personnel with professorial rank who have twelve-month
employment contracts may earn leave as authorized by the vice chancellors and
chancellor but under a different leave policy from that provided for SPA
employees. Teaching faculty who have a
nine-month employment contract do not earn any vacation or sick leave. All full-time permanent SPA employees who
work one-half or more of the regularly scheduled workdays in any month shall
earn vacation and sick leave. Part-time,
permanent SPA employees who are employed on a continuing basis for a fixed
number of hours each week in a permanent budgeted position for as much as
half-time shall earn vacation and sick leave on a pro-rata basis if work is
performed for one-half or more of the scheduled workdays in a month. Some administrative personnel who are exempt
from the State Personnel Act (EPA) may also earn vacation and sick leave under
the same leave policy as applied to SPA employees. This is limited to certain full-time
administrative and professional personnel, such as the chancellor, vice
chancellors, deans, and their associates.
The amount of leave that may be earned each month and the conditions for
its use are described in the ECU Business
Manual
L. Workers'
Compensation
All university employees, including paid student help, are
covered by workers' compensation that provides for certain benefits in the
event there is an on-the-job accident, causing injury. If and when an
on-the-job accident causing injury should occur, it should be reported
immediately to the university safety and health office. Responsibility for
claiming compensation is on the injured employee. Any claim filed by the employee must be made
through the university health and safety office with the North Carolina
Industrial Commission within two years from date of injury; otherwise, the
claim will be barred by law. The
university is considered a self-insured employer and will be responsible for
all claims
as approved by the NC Industrial Commission. The employee should not pay for drugs and
treatment received or charge it against personal hospitalization insurance
coverage. Although the university will
pay for prescribed drugs, physician's fees, and hospital charges as approved,
there will be a waiting period of seven calendar days from date of injury
before any weekly worker's compensation can begin for loss of work. Faculty
members are required to report to the administration any hazards to safety and
any accidents or other unusual occurrences or emergencies that may be of
general concern.
M. Flex
Reimbursement Accounts
Employees may set aside money before taxes (Federal, State,
and FICA) from their salary to be used for medical and dependent care
expenses. This is a reimbursement
account for use by employees.
III. Institutional Services
Available to Faculty
A. Academic Apparel
Faculty members have the following options for ordering
academic apparel:
1. A
quality, tailor-made outfit may be purchased through the Student Store. Samples of materials and information
concerning the styles of academic apparel are available. The cost of an outfit depends on the type of
materials selected.
2 Academic
apparel may also be rented through the Student Store. If an order is placed with the Student Store,
faculty members are responsible for the rental fee whether or not the gown is
picked up. The rental fee is based on the degree held by the faculty member.
B. Admission to
Athletic Events
Football and basketball season tickets are offered to
faculty at a reduced price. Single game
tickets are the same as charged to the public.
C. Cardiovascular
Disease Risk Factor Identification/Reduction Program
The Human Performance Laboratory in the
D. Central Ticket
Office
The Central Ticket office, located in the
E. Computing and
Information Systems
The Computing and
F. Continuing
Education
The Division of Continuing Education and Summer School
organizes extension courses in almost all professional and academic areas. The Division of Continuing Education and
Summer School also renders assistance to the public schools through educational
workshops, educational clinics in special fields, speakers for special
occasions, assistance in educational surveys and curriculum studies, and
consultation on special problems.
G. Credit Union
University employees maintain a credit union, organized under the regulations stipulated by
the State of
H. Dining Services
Faculty are invited to eat at any of the restaurants on
campus. A declining balance card is
offered to faculty. This card is a
pre-paid account that can be used as cash in any of the dining locations. For more information faculty may call Dining
Services.
I. Grants,
Contracts, and Cooperative Agreements
The office of Sponsored Programs is the university office
with responsibility for pre-award activities involved in the submission of
proposals to external sponsors for support of projects in research, creative
activity, training, and public service.
The staff will provide information, assistance, review, and endorsement. The office of Sponsored Programs serves as
the clearinghouse for information on public and private funding opportunities.
Staff members welcome requests for assistance in locating funding sources and
developing proposals and budgets. They will review proposals for completeness
and compliance with university and sponsor administrative requirements. In addition, they will provide guidance for
development of contractual agreements for activities such as clinical drug
trials. All proposals for grants, contracts, and cooperative agreements
prepared by faculty to request outside funds must be reviewed and signed in the
office of Sponsored Programs before submission to sponsors. See Part
VII, Research Information.
J. Housing
The off-campus housing office provides publications to aid
those searching for rental housing in
K.
Monday through Thursday 8:00
A.M. - 11:00 P.M.
Friday 8:00 A.M. - 12:00 Midnight
Saturday 12:00
Noon - 12:00 Midnight
Sunday 1:00
P.M. - 11:00 P.M.
L. Police Department
The ECU Police Department consists of two divisions: Police Services
and Medical School Security. The Police
division is a full-service law enforcement agency providing services such as
uniformed patrol, (bicycle, vehicle, foot), criminal investigations, traffic
enforcement and other services. The
Medical School Security division handles security at the Brody Medical
Complex. Crime prevention specialists
are available to give lectures concerning campus safety.
M. Post Office and
Campus Mail Service
handled by the Campus Mail Service. Each
department, college, or school has a box at this post office to which
intra-campus mail is delivered, and faculty members may receive their
individual intra-campus mail in their respective unit. Intra-campus mail is free of postage.
N. Radiation Safety
Many radiation sources are used at
O. Recreational
Services
Faculty are invited to participate in all programs and
services offered through the department of Recreational Services. The
P. Supplies,
Equipment, and Contractual Services
The university department of Materials Management has the
responsibility for making all purchase contracts for the university (rental or
purchase of real property excepted). This authority covers all supplies,
materials, equipment, and contractual services as required by the university
and any of its schools, departments, agencies, or divisions. Purchases are
initiated by submittal of a purchase requisition to the department of Materials
Management by departmental chairpersons, deans, or agency heads through their
respective vice chancellors. See ECU Business Manual.
Q. Telephone Service
The university switchboard is open each school day from 8:00
A.M. - 5:00 P.M. primarily for information and for reporting interruptions in
service. All necessary long distance
telephone calls should be made through the DAIN system to take advantage of the
more favorable rates. It is not
permissible to charge personal calls to a university telephone and then
reimburse the university for the cost.
If it should be necessary to place a personal long distance call from a
university telephone, the call should be made collect or charged to the
individual's home phone or to a credit card.
If these methods of charging are not possible, the call should be made
from a nonuniversity phone.
R. Tuition Privileges
for Faculty
Subject to the University of North Carolina Board of
Governors’ policy, full-time faculty who are eligible for membership in a
state-supported retirement plan will be allowed free tuition for one course per
school term for classes attended outside of the required work hours. See ECU
Business Manual.
IV. Employment of Related
Persons (Formerly Appendix H)
A. Basic
Principles
Consistent with the principle that
university employees and prospective employees shall be evaluated on the basis
of individual merit, without reference to considerations of race, sex, religion
or national origin, or any other factors not
involving personal professional
qualifications and performance, the following restrictions, designed to avoid
the possibility of favoritism based on family or personal relationship, shall
be observed with respect to institutional personnel who are not subject to the
State Personnel Act:
1. Related
persons shall not serve concurrently within the institution in any case where
one such related person would occupy a position having responsibility for the
direct supervision of the other related person.
2.
With
respect to proposed employment decisions which would result in the concurrent
service of related persons within the same academic department (or other
comparable institutional subdivision of employment), a person
related to an incumbent employee may
not be employed if the professional qualifications of other candidates for the
available position are demonstrably superior to those of the related person.
3. With
respect to the concurrent service of related persons within the same academic
department (or other comparable institutional subdivision of employment),
neither related person shall be permitted, either individually or as a member
of a faculty, or as a member of a committee of a faculty, to participate in the
evaluation of the other related person.
B. Definition
of "Related Persons"
The following relationships are
sufficiently immediate to invoke the prohibitions against concurrent service of
related persons:
1) Parent and child; 2) Brothers and
sisters; 3) Grandparent and grandchild; 4) Aunt and/or uncle and niece and/or
nephew: 5) First cousins; 6) Step‑parent and
step‑child: 7) Step‑brothers and step‑sisters; 8) Husband and
wife;
9) Parents‑in‑law and
children‑in‑law; 10) Brothers‑in‑law and sisters‑in‑law;
11) Guardian and ward; 12) Persons engaged in amorous relationships; an amorous
relationship exists when, without the benefit of marriage, two persons
voluntarily have a sexual union or are engaged in a romantic courtship (e.g.
dating or engaged to be married) that may or may not have been consummated
sexually.
C. Effective
Date
The provisions of this policy shall
be applicable prospectively only, with reference to appointments made after the
adoption date of the policy.
D. Employees
Subject to the State Personnel Act
With respect to university employees
who are subject to the State Personnel Act (SPA), applicable restrictions
concerning the concurrent service of related persons shall be those adopted by
the state personnel board.
E. Each
chancellor shall report annually to the board of trustees, at the regular
meeting falling closest to the date of commencement, concerning all specific cases
during the preceding year in which the terms of this policy were applied.
(Administrative Memorandum #360, 18 March 1996, UNC Board of
Governors)
V. External Professional Activities of Faculty
and Other Professional Staff (Formerly Appendix
Q)
A. University Policy
The
Because of their specialized knowledge and experience, such
persons have opportunities to apply their professional expertise to activities
outside of their university employment, including secondary employment
consisting of paid consultation with or other service to various public and
private entities 35. Through such practical, compensated applications of their
professional qualifications, university employees enhance their own
capabilities in teaching and research. Thus, participation of faculty and other
professional staff members in external professional activities for pay,
typically in the form of consulting, is an important characteristic of academic
employment that often leads to significant societal benefits, including
economic development through technology transfer. However, such external
professional activities for pay are to be undertaken only if they do not:
1. create a conflict of commitment
by interfering with the obligation of the individual to carry out all primary
university duties in a timely and
effective manner; or
2. create a conflict of interest
vis-à-vis the individual's status as an employee of the university; or
3. involve any inappropriate use or
exploitation of university resources; or
4. make any use of the name of The
University of North Carolina or any of its constituent institutions for any
purpose other than professional identification; or
5. claim, explicitly or implicitly,
any university or institutional responsibility for the conduct or outcome of
such activities.
B. Definitions
1. "External
professional activities for pay" means any activity that:
a. is
not included within one's university employment responsibilities;
b. is
performed for any entity, public or private, other than the university
employer;
c. is
undertaken for compensation; and
d. is
based upon the professional knowledge, experience, and abilities of the faculty
or other professional staff member.
Activities for pay not involving such professional
knowledge, experience, and abilities are not subject to the advance disclosure
and approval requirements of section C. of this policy, although they are
subject to the basic requirement that outside activities of any type not result
in neglect of primary university duties, conflicts of interest, inappropriate
uses of the university name, or claims of university responsibility for the
activity.
2. "University
employment responsibilities" include both "primary duties and
"secondary duties.” Primary duties consist of assigned teaching,
scholarship, and all other institutional service requirements. Secondary duties
consist of Professional affiliations and activities traditionally undertaken by
faculty and other professional staff members outside of the immediate
university employment context that redound to the benefit of the profession and
to higher education in general. Such endeavors, which may or may not entail the
receipt of honoraria or the reimbursement of expenses, include membership in
and service to professional associations and learned societies; membership on professional
review or advisory panels; presentation of lectures, papers, concerts or
exhibits; participation in seminars and conferences; reviewing or editing
scholarly publications and books, and service to accreditation bodies. Such
integral manifestations of one's membership in a profession are encouraged, as
extensions of university employment, so long as they do not conflict or
interfere with the timely and effective performance of the individual's primary
university duties.
3. "Faculty
or other professional staff member" means any person who is employed
full-time by The University of North Carolina or a constituent institution or
other agency or unit of The University of North Carolina and who is not subject
to the State Personnel Act.
4.
"Department" means an academic department, a professional school
without formally established departments, or
any
other administrative unit designated by the chancellor of an institution or by
the president for the office of
General
Administration, for the purposes of implementing this policy.
5.
"Inappropriate use or exploitation of university resources" means
using any services, facilities, equipment, supplies, or personnel which members
of the general public may not freely use. A person engaged in external professional
activities for pay may use, in that connection, his or her office and publicly
accessible facilities such as university libraries; however, an office shall
not be used as the site for compensated appointments with clients, e.g., for
counseling or instruction. Under no circumstances may a supervisory employee
use the services of a supervised employee during university employment time to
advance the supervisor's external professional activities for pay.
6.
"Conflict of interest" relates to situations in which financial or
other personal considerations may compromise, may have the potential for
compromising, or may have the appearance of compromising an employee's
objectivity in meeting university duties or responsibilities, including
research activities.
C. Procedures
Governing External Professional Activity for Pay
1. A
faculty or other professional staff member who plans to engage in external
professional activity for pay shall complete the "Notice of Intent to
Engage in External Professional Activity for Pay" (hereinafter referred to
as "Notice of Intent,"), which shall be filed with the head of the
department in which the individual is employed. A separate “Notice of
Intent" shall be filed for each such activity in which an employee
proposes to engage. Unless there are exceptional circumstances, the
"Notice of Intent" shall be filed not less than ten calendar days
before the date the proposed external professional activity for pay is to
begin.
2. Approval
of a "Notice of Intent” may be granted for a period not to exceed the
balance of either 1) the fiscal year (in the case of twelve-month employees and
employees with contract service periods that include the summer session) or
2)the academic year (in the case of nine-month employees with no summer session
contract period)
remaining as of the date of approval; if the approved
activity will continue beyond the end of the relevant fiscal or academic year
in which it was begun, an additional "Notice of Intent” must be filed at
least ten days before engaging in such activity in the succeeding relevant
year.
3. Except
as set out in paragraph d., below, the “Notice of Intent” shall be considered
as follows: If, after a review of the “Notice of Intent" and consultation
with the faculty or other professional staff member, the unit head determines
that the proposed activity is not consistent with this policy statement of the
board of governors, the faculty or other professional staff member shall be
notified of that determination within ten calendar days of the date the
"Notice of Intent" is filed. In the event of such notification by the
unit head, the faculty or other professional staff member shall not proceed
with the proposed activity but may appeal that decision to the next higher
administrator and then to the chancellor (or, in the General Administration, to
the president). A decision on any such appeal shall be given to the faculty or
other professional staff member within ten calendar days of the date on which
the appeal is
received. The decision of the chancellor (or of the
president) shall be final. Appeals shall be made in writing on the "Notice
of Intent” form
4. If
question 8., question 9.a., or question 9.b. on the "Notice of Intent” is
answered in the affirmative, the procedure set out in paragraph 3.c., above,
shall be modified as follows: The decision of the unit head to approve the
activity shall be reviewed promptly and approved or disapproved within ten days
of receipt by the next higher administrator, and appeal of a disapproval by
that officer shall be to the chancellor (or, in the General Administration, to
the president).
5. Departmental
summaries of all "Notices of Intent" filed and of actions taken in
response to such "Notices of Intent" during the preceding fiscal year
shall be submitted by unit heads to the chancellor (or, in the General
Administration, to the president) each July. The chancellors shall provide
annual summary reports to the president by September 1 of each year.
6. University
employees not complying with these procedures will be subject to disciplinary
action. Unit heads are held responsible for proper reporting.
D. Special Provisions
1.
External professional activities for pay performed for another institution or
agency of the State of
2. The
procedures in section 5 shall not be required of faculty and other professional
staff members serving on academic year contracts if the external professional
activity for pay is wholly performed and completed between the day following
spring commencement and the first day of registration for the fall semester,
provided that the activity does not conflict with this policy statement of the
board of governors and is not conducted concurrently with a contract service
period for teaching, research, or other services to the institution during a
summer session
E. Effective Date
This policy statement shall become effective on 1 July 1993.
F. Sample Form for
Notice of Intent to Engage in External Professional Activities for Pay
Date: (Name) - Intends to engage in external professional
activity for pay under the following Conditions
1. Name and address
of contracting organization:
2. Nature of
proposed activity:
3. Beginning
date and anticipated duration of activity:
4. On
average, how many hours per week will be devoted to this activity?
a. For
twelve-month employees, for the anticipated duration of the activity, within
the current fiscal year ending June 30:
b. For
nine-month employees, for each component part of the academic year, as
applicable, within the current fiscal year ending June 30
1) Second
summer session (post July 1)
2) Fall
semester
3) Spring
semester
4) First
summer session (pre July 1)
5. Total
number of hours to be devoted to activity:
6. Identify
any classes, meetings, or other university duties that will be missed because
of involvement in the proposed activity (respond separately for each applicable
component part of the academic calendar if nine-month employee) and state what
arrangements have been made to cover any such duties:
Duties Missed Arrangements
to Cover
7. Use of
university resources in connection with proposed activity:
a. Will the activity
entail the use of any university resources? _ Yes _ No
b. If yes, describe
what resources will be used.
8. To
your knowledge, does the contracting organization above provide funding which
directly supports
any of your university duties or activities? _ Yes _ No
9. To be
completed if the contracting organization is a private firm:
a. Do you or any
member of your immediate family own an equity interest in the contracting
organization?
_
Yes _ No
b. Do you hold an
office in the contracting organization?
_ Yes _ No
10. Performance
of the above described activity is consistent with the board of governors
policy on external professional activities.(Signatures Follow)
G. Sample Form for
Activity During Past Fiscal Year
Provide the following information for each external
professional activity for pay in which you engaged during the last fiscal year
preceding the date of filing of this "Notice of Intent"
1. Contracting
organization:
2. Beginning
and ending date of activity (if completed):
3. Average
hours per week devoted to this activity.
4. Total number
of hours devoted to this activity:
5. Nature of
professional activity:
6. Date Notice
of Intent was filed:
H. Sample Form for
Administrative Action on Notice of Intent
1. Reviewed;
activity determined to be consistent with university policy. Date: Unit Head:
Other action (as required):
Date: Dean
or Other Administrative Officer*
*Approval by dean or next higher administrator is required
if question 8., 9.a., or 9,b. is answered in the affirmative.
2. Reviewed;
activity determined not to be consistent with university policy
Date: Unit
Head:
Action on appeal (if any):
Date: Action
Taken:
Dean or Next Higher Administrator:
Date: Action
Taken:
Chancellor:
Any administrative action approving a "Notice of
Intent” shall be effective only for the remaining balance of the fiscal year
(in the case of twelve-month employees) or for the balance of the academic year
(for nine-month employees).
VI. Equal Employment Opportunity/Affirmative
Action Policy
(Formerly Appendix K)
The university's policy is consistent with North Carolina
General Statutes 126‑16: "All state...agencies...of North Carolina
shall give equal opportunity for employment, without regard to race, religion,
color, creed, national origin, sex, age, or
physical disability to all persons qualified, except where
specific age, sex, or physical requirements constitute bona fide occupational
qualifications necessary to proper and efficient administration. This section with respect to equal
opportunity as to age shall be limited to individuals who are at least 40 years
of age but less than 70 years of age."
It is also consistent with The
Code of The University of North Carolina, Section 103: "Admission to,
employment by, and promotion in The University of North Carolina and all of its
constituent institutions shall be on the basis of merit, and there shall be no
discrimination on the basis of race, color, creed, religion, sex or national
origin...."
In addition,
which employees realize their maximum potential in the
workplace and students can engage fully in the learning process. Accordingly,
sexual harassment by and of both employees and students is prohibited by this
policy.
1. It
is illegal and against the policies of
a. making
unwelcomed sexual advances or requests for sexual favors or other verbal or
physical conduct of a sexual nature a condition of an employee's continued
employment, or
b. making
submissions to or rejections of such conduct the basis for employment decisions
affecting the employee, or
c. creating
an intimidating, hostile, or offensive working environment by such conduct.
2. It
is against the policies of
a. making
unwelcomed sexual advances or requests for sexual favors or other verbal or
physical conduct of a sexual nature a condition of a student's grade, progress,
or recommendation or
b. creating
an intimidating, hostile, or offensive learning environment by such conduct.
Sexual harassment shall hereinafter be deemed a form of
discrimination based on sex as prohibited by Section 703 of Title VII of the
Civil Rights Act, by North Carolina General Statute 126‑16 (employees),
and by Title IX of the Education Amendments Act of 1972 (students).
A. Responsibilities
Responsibility for implementation of these policies rests
with the chancellor. The vice
chancellors, the dean of the
The chancellor has also appointed the director of Equal
Opportunity Programs to coordinate all aspects of the Affirmative Action Plan,
initiate programs to assist in reaching the goals of the Affirmative Action
Plan, maintain a record system, identify problem areas, and assist faculty and
staff and students to resolve problems.
This individual is assisted by the associate director of Equal
Opportunity Programs.
B. Grievances
Any student of
(Approved: 30 June 1983,
VII. Other Personnel Policies
A. Substance Abuse
Policy (Formerly Appendix T)
Accordingly, the
·
prevent
substance abuse through a strong educational effort;
·
encourage
and facilitate the use of counseling services and rehabilitation programs by
those members of the academic community who require their assistance in
stopping substance abuse; and
·
discipline
appropriately those members of the academic community who engage in illegal
drug or alcohol related behaviors.
1. Educational
Efforts to Prevent Substance Abuse
In keeping with its primary mission of education,
illegal drug or alcohol use; the incompatibility of
substance abuse with the maximum achievement of educational, career, and other
personal goals; and the potential legal consequences of involvement with
illegal drugs or alcohol.
2. Counseling
and Rehabilitation Services to Prevent Substance Abuse
Those faculty, staff, or students who seek assistance with a
substance abuse related problem shall be provided with information about drug
counseling and rehabilitation services available through
3. Disciplinary
Actions to Prevent Substance Abuse
Students, faculty members, administrators, and other
employees are responsible, as citizens, for knowing about and complying with
the provisions of North Carolina law that make it a crime to possess, sell,
deliver, or manufacture those drugs designated collectively as "controlled
substances" in Article 5 of Chapter 90 of the North Carolina General
Statutes. Any member of the university
community who violates that law is subject both to prosecution and punishment
by the civil authorities and to disciplinary proceedings by the university.
It is expected that
A person whose conduct is outside these parameters will be
subject to the judicial rules and procedures of the university.
It is not "double jeopardy" for both the civil
authorities and the university to proceed against and punish a person for the
same specified conduct. The university
will initiate its own disciplinary proceedings against a student, faculty
member, administrator, or other employee when the alleged conduct is deemed to
affect the interests of the university.
Penalties will be imposed by the university in accordance
with procedural safeguards applicable to disciplinary actions against students,
faculty members, administrators, and other employees, as required by Appendix D, Tenure and Promotion Policies
and Procedures of ECU, by board of governors' policies applicable to the
employees exempt from the State Personnel Act, by the
The penalties to be imposed by the university may range from
written warnings with probationary status to expulsions from enrollment and
discharges from employment. [1]However,
the following minimum penalties shall be imposed for the particular offenses
described.
a. Trafficking in
Illegal Drugs
(1) For
the illegal manufacture, sale or delivery, or possession with intent to
manufacture, sell or deliver, of any controlled substance identified in
Schedule I, NC General Statutes 90‑89, or Schedule II, NC General
Statutes 90‑90 (including, but not limited to, heroin, mescaline,
lysergic acid diethylamide, opium, cocaine, amphetamine, methaqualone), any
student shall be expelled and any faculty member, administrator, or other
employee shall be discharged.
(2) For a first offense involving
the illegal manufacture, sale or delivery, or possession with intent to
manufacture, sell or deliver, of any controlled substance identified in
Schedules III through VI, NC General Statutes 90‑91 through 90‑94,
(including but not limited to, marijuana, pentobarbital, codeine) the minimum
penalty shall be suspension from enrollment or from employment for a period of
at least one semester or its equivalent.
For a second offense, any student shall be expelled and any faculty
member, administrator, or other employee shall be discharged.
b. Illegal
Possession of Drugs
(1) For
a first offense involving the illegal possession of any controlled substance
identified in Schedule I, NC General Statutes 90‑89, or Schedule II, NC
General Statutes 90‑90, the minimum penalty shall be suspension from
enrollment or from employment for a period of at least one semester or its
equivalent.
(2) For
a first offense involving the illegal possession of any controlled substance
identified in Schedules III through VI, NC General Statutes 90‑91 through
90‑94, the minimum penalty shall be probation, for a period to be
determined on a case‑by‑case basis.
A person on probation must agree to participate in a drug education and
counseling program, consent to regular drug testing, and accept such other
conditions and restrictions, including a program of community service, as the
chancellor or the chancellor's designee deems appropriate. Refusal or failure to abide by the terms of
probation shall result in suspension from enrollment or from employment for any
unexpired balance of the prescribed period of probation.
(3) For
second or other subsequent offenses involving the illegal possession of
controlled substances, progressively more severe penalties shall be imposed,
including expulsion of students and discharge of faculty members,
administrators, or other employees.
c. Possession and Use
of Alcohol
(1) For
offenses involving the illegal possession, use, sale, and/or distribution of
alcohol in violation of NC General Statutes 18B‑300 & 12B‑301
& 302; 18B‑1006(a); or Greenville Ordinance No. 812‑1‑2,
a student will be subjected to a progressive penalty system based on the type
of infraction and the circumstances involved.
Penalties may be warning, probation, fine, volunteer community service,
and/or removal from the residence system or the university.
(2) In
certain circumstances, involvement in an alcohol education and/or counseling
program may be offered to a student in lieu of being referred to the Honor
Board with a recommendation for suspension.
Specifically, a student given this option will be required to
participate in a program of assessment, education, and counseling; pay a fee of
sixty dollars, and be placed on university probation. A student may participate in this program
only once in lieu of disciplinary action.
(3) University
employees subject to the State Personnel Act may be disciplined in accordance
with the rules and regulations for personal misconduct, i.e., final written
warning, which may include a three day suspension without pay, or dismissal.
When a student, faculty member, administrator, or other
employee has been charged by the university with a violation of policies
concerning illegal drugs or alcohol, he or she may be suspended from enrollment
or employment before initiation or completion of regular disciplinary
proceedings if, assuming the truth of the charges, the chancellor or, in the
chancellor's absence, the chancellor's designee concludes that the person's
continued presence within the university community would constitute a clear and
immediate danger to the health or welfare of other members of the university
community, provided, that if such a suspension is imposed, an appropriate
hearing of the charges against the suspended person shall be held as promptly
as possible thereafter.
In the case of employees, anyone convicted of a criminal
drug statute violation occurring in the work place shall notify the university
no later than five days after such a conviction. The university will commence disciplinary
action against such an individual within thirty days of notice of the
conviction.
4. Responsibilities
Under This Policy
Authority to implement the policy shall reside in the
chancellor. The chancellor shall
designate a coordinator of drug and alcohol education who shall, acting under
the authority of the chancellor, be responsible for overseeing all actions and
programs relating to this policy. All
employees and students shall be responsible for abiding by the provisions of this
policy. In the case of employees, adherence
with the provisions of the policy shall be a condition of employment. The chancellor will render an annual report
to the board of trustees on the effectiveness of this policy.
5. Dissemination
of This Policy
A copy of this policy shall be given annually to each
employee and to all new employees at the beginning of their employment. Each student shall receive a copy and new
students shall be given a copy during orientation. The policy shall be printed in appropriate
student documents and posted on official bulletin boards of the university.
(Approved: October 5, 1990,
Board of Trustees)
B. Weapons Policy
The possession and/or use of a weapon on any university
owned or controlled property is incompatible with the academic mission and
programs of the university. In addition, any threat to commit bodily harm,
either by the use of a weapon or physical force is also inappropriate in an
academic community. All university constituents, including students, faculty,
staff, and visitors should respect the institutional mission and help to insure
that a safe and secure environment, which is conducive to learning, is present
at all times. Therefore, each constituent should respect and obey the following
rules and regulations pertaining to weapons on university property. This policy
does not apply to an individual’s legal right to possess or own a weapon off
campus. Any member of the university community who violates North Carolina
General Statute 14-269.2 pertaining to weapons on campus is subject both to
prosecution and punishment in accordance with state criminal law and criminal
procedures and to disciplinary proceedings by the university.
G.S. 14-269.2 makes it unlawful and in some circumstances,
felonious conduct "for any person to possess or carry, whether openly or
concealed, any gun, rifle, pistol, or other firearm of any kind, or any
dynamite cartridge, bomb, grenade, mine or powerful explosive on educational
property." The statute makes it a misdemeanor "for any person to
possess or carry, whether openly or concealed, any BB gun,
air rifle, air pistol, bowie knife, dirk, dagger, slingshot, leaded cane,
switchblade knife, blackjack, metallic knuckles, razors and razor blades
(except solely for personal shaving), and any sharp pointed or edged instrument
except instructional supplies, unaltered nail files, and clips and tools used
solely for the preparation of food, instruction, and maintenance, on
educational property.
The statute does not apply to:
1. A
weapon used solely for educational or school-sanctioned ceremonial purposes, or
used in a school-approved program conducted under the supervision of an adult
whose supervision has been approved by the school authority; and
2. Armed
forces personnel, officers and soldiers of the militia and national guard, law
enforcement personnel, and any private police employed by an educational
institution. when acting in the discharge of the official duties.
The Director of Public Safety is responsible for authorizing
weapons on campus which meets either of these two criteria.
It is not "double jeopardy" for both the criminal
law enforcement authorities and the university to proceed against and punish a
person for the same specified conduct. The university will initiate its own
disciplinary proceedings against a
student, faculty member, administrator, or other employee
when the alleged conduct is deemed to affect the interest of the university. A
resident student should also understand that he/she may be removed from his/her
residence hall for violating the housing contract regulation pertaining to the
possession or use of a weapon in the residence halls. See ECU
Housing and Dining Agreement.
Penalties will be imposed by the university in accordance
with procedural safeguards applicable to disciplinary actions against students,
faculty members, administrators, and other employees. These safeguards are
found in the
1. Persons
who possess or use a gun, rifle, pistol, or other firearm of any kind, or
powerful explosive will be suspended for a period of not less than one year
(student), or discharged (faculty member, administrator, or other employee).
For a second offense, the student will be expelled.
2. Persons
who possess or use a BB gun, air rifle, air pistol, bowie knife, dirk, dagger,
slingshot, leaded cane, switchblade knife, blackjack, metallic knuckles, razors
and razor blades (except solely for personal shaving), and any sharp pointed or
edged instrument except instructional supplies, unaltered nail files and clips
and tools used solely for the preparation of food, instruction, and maintenance
will be suspended from enrollment for a minimum period of at least one semester
or its equivalent (student), or discharged (faculty member, administrator, or
other employee). For a second offense, any student will be expelled.
In certain instances, established penalties may be reduced
due to mitigating circumstances e.g. the weapon has not been removed from a
motor vehicle and if it has not been brandished, exhibited or displayed in any
careless, angry or reckless manner. The established penalty however, may not be
reduced if the violation involves use of a weapon in a manner where bodily harm
or injury occurs or where the weapon was involved in another violation of
university regulations. In cases where the penalty is reduced, the person
should expect some penalty which may include probation, counseling, community
service, or loss of certain privileges. A subsequent violation of this policy
will result in a progressively more severe penalty which includes suspension or
expulsion of students and discharge of a faculty member, administrator or other
employee.
(Approved: July 6, 1995,
C. Serious Illness and
Disability Leave for Faculty Policy
The purpose of this policy is to provide permanent
faculty who do not currently earn sick leave with paid leave for cases of a
serious health condition, maternity leave, or parental leave as defined under
the Family and Medical Leave Act (FMLA).
The purpose of this policy is also to coordinate leaves granted under
federal and state acts such as the FMLA [29 U.S.C. § 2601, et seq.], the North
Carolina Family Illness Act (NCFIA) [SB1115, Section 28.3B], and the UNC Policy
on Serious Illness and Disability Leave for Faculty [UNC Policy
300.2.11(G)]. All three policies cover
the same serious health conditions, maternity leave or parental leave. This policy supplements the FMLA and NCFIA to
provide for a period of paid leave rather than such leave being unpaid.
This policy does not apply to brief absences of 14
calendar days or less that are usually accommodated informally. This policy is
intended to apply to short-term and intermediate-term disability of up to one
year. Exceptional cases may be considered by the University.
All eligible
Granting
or denial of a request for a leave under this policy shall be made without
regard to the faculty member's race, color, national origin, religion, gender,
age, sexual orientation, political affiliation, disability, or personal malice.
I. Definitions
For
purposes of this policy a brief absence is defined as fourteen (14) calendar
days or less.
The
following definitions are applicable to the Family and Medical Leave Act
(FMLA), the North Carolina Family Illness Act (NCFIA) and ECU's Policy on
Serious Illness and Disability Leave for faculty:
A serious health condition is defined as (a) an illness, injury,
impairment, or physical or mental condition that involves either inpatient care
in a hospital, hospice, or residential medical care facility, or that involves
continuing treatment by a health care provider; (b) any period of incapacity
requiring an absence from work of more than fourteen calendar days that also
involves continuing treatment by a health care provider; or (c) continuing
treatment by a health care provider for conditions so serious that, if not
treated, would likely result in an absence of more than ten workdays. Prenatal
care is also included. The period of
actual physical disability associated with childbirth is considered a serious
health condition and must be taken as family/medical leave, whether as paid or
unpaid leave.
Immediate
Family - spouse, parents, children (including step relationships), or other
legal dependents who require the faculty member's care.
Parent - a
biological or adoptive parent or an individual who stood in loco parentis
(a person who is in the position or place of a parent) to an employee when the
employee was a child.
Child - a
son or daughter who is under 18 years of age or is 18 years of age or older and
incapable of self-care because of a mental or physical disability. Child would
include: (a) biological, (b) adopted, (c) foster, (d) step-child, (e) legal
ward, and (f) child of an employee standing in loco parentis as defined
above.
Immediate
Supervisor - Normally, the immediate supervisor is the individual who is the
head of the code unit. However, in code units that describe department
structures, the immediate supervisor is the department head/chair.
FMLA
provides for a period of up to 12 weeks of unpaid leave for a serious health
condition, maternity leave, or parental leave.
NCFIA provides for up to 52 weeks of unpaid leave in a five-year period
in cases of serious illness of a child, spouse, or parent.
Applicable
vice chancellor - The applicable vice chancellor is the Provost/Vice Chancellor
for Academic Affairs or the Vice Chancellor for Health Sciences, whoever is
appropriate for the particular faculty member.
Start Date
- The period of paid leave under this policy begins with the first day of the
absence from University contractual duties resulting from such illness or
disability. If a leave begins as a brief illness, then
results in a more serious condition that warrants use of the Serious Illness
Leave policy, the period of paid leave under this policy will revert back to
the first day of absence.
II. Eligibility
This
policy applies to persons holding regular full-time faculty appointments who
are eligible for participation in either the North Carolina Teachers and State
Employees Retirement System or the Optional Retirement Program, and who are not
eligible to earn sick leave under any other state or institutional leave
policy. If a faculty member has been in a previous leave-earning position and
has an accumulated sick leave balance, the faculty member must exhaust any
previous sick leave balance prior to requesting coverage under this policy.
Part-time permanent faculty holding appointments of at least 75% are also
covered under this policy.
III. Benefit
(A) In all cases, leave granted under this policy
shall be in increments that are appropriate to the facts and circumstances
surrounding the illness or disability, the academic calendar, the needs of the
unit, and the responsibilities of the faculty member. Leave taken under this
Serious Illness policy shall run concurrently with FMLA leave and/or with the
statutory provisions of the North Carolina Family Illness Act. Any leave under this policy will count as
part of the 52 week allowable total under the NCFIA and/or as part of the 12
week allowable total under the FMLA.
(B) A faculty member who has a medically
verifiable illness or disability, with proper medical documentation, as defined
under FMLA, or whose immediate family member has a medically documented,
verifiable illness, may elect to request a paid leave of absence for up to 15
calendar weeks in accordance with Section V.
Such a request must be reviewed by the immediate supervisor and the dean
with notification of the action taken submitted to the appropriate vice
chancellor and the Office of Human Resources.
(C) If the illness or disability requires an
absence from faculty duties in excess of the 15 calendar weeks, the faculty
member may elect to petition for an extension of paid leave (see (E) below) or
for a leave of absence without pay under procedures described in the
(D) The faculty member should consult with the
Office of Human Resources regarding existing benefits through the Disability
Income Plan or through other disability programs that may be offered to
University employees on an optional basis.
(E) A faculty member who provides the appropriate
additional medical documentation and whose illness or disability, or that of
the family member, extends beyond the 15 weeks provided for under this Policy,
may elect to submit a written request to the immediate supervisor for an
extension of leave with pay up to a maximum of one year (determined by counting
forward 12 months from the date the leave begins) at the discretion of the University.
More than one serious illness or disability leave may be granted in a 12-month
period, but the total maximum allowable paid leave for all such serious
illnesses may not exceed one year in length.
Such requests must be reviewed by the appropriate dean, vice chancellor,
and the Associate Vice Chancellor for Human Resources. Additional leave with
pay in excess of the limits may be granted in exceptional cases at the
discretion of the university.
(F) Additional leave requires leave of absence
without pay.
(G) The immediate supervisor may require such
medical documentation or certifications, second or third medical opinions (at
the university's expense) or other documentation of the need for leave,
probable length of absence from normal duties, ability to return to work, or
intent to return to work as it may deem necessary.
(H) When the request is to care for a member of
the faculty member's immediate family, the University will also require
satisfactory evidence that the faculty member will exercise primary
responsibility for the care of those who would qualify the faculty member for
leave under this policy.
(I) Leave offered under this policy is not
allowable as terminal leave payment when the faculty member leaves the
employment of the University. Unused leave shall not accumulate nor be carried
forward from one academic year or calendar year to the next. It may not be used to extend years of
creditable state service for retirement benefits. However, it may be exhausted
prior to participation in the Disability Income Plan of North Carolina that is
provided to eligible state employees.
(J) It is the intent of this Policy that faculty
members receive the benefits defined herein during the period(s) in which they
have a contractual commitment to the University.
IV. Use
of Leave
The period
of leave provided under this policy may be used for medically verifiable
sickness or injury as defined under the FMLA.
Use of such leave includes the birth of a child and to care for the
newborn child after birth or for temporary disability connected with
childbearing and recovery, which prevents the faculty member from performing
usual duties. Leave also may be used for the placement of or to care for a
child placed with the employee for adoption or foster care, and/or for a
serious health condition of the employee that prevents the employee from
performing the essential functions of his/her job. In accordance with ECU's policy on leave
granted under the Family and Medical Leave Act, a faculty member may seek leave
needed as a consequence of a medically verifiable illness/disability of a
member of the immediate family, as defined in
A faculty
member who anticipates the need for a temporary leave shall notify his or her
immediate supervisor in writing as soon as possible.
If the
faculty member's request is for the purpose of caring for an immediate family
member, the immediate supervisor may request medical verification of the
illness or disability of that person and may also inquire about the
circumstances which make it impossible or difficult for the faculty member to
carry on with normal duties.
When the
request is for the care of the faculty member’s family member or dependent, the
immediate supervisor may base the recommendation on other factors, including
the needs of the unit, timing within the academic year, effect on students,
ability of the unit to compensate for the absence, etc.
Female
faculty shall not be penalized because they require time away from work caused
by or contributed to by pregnancy, miscarriage, abortion, childbirth or
recovery. Disabilities resulting from pregnancy shall be treated the same as
any other temporary disability. The type and nature of the faculty member’s
duties during pregnancy shall be determined by the faculty member's immediate
supervisor in consultation with the faculty member and upon advice she receives
from her physician.
V. Administration
of Benefit
It is the
responsibility of the faculty member to request the use of leave provided by
this policy as soon as possible upon learning of the need for the leave. This
request will be made to the faculty member's immediate supervisor. The request for leave shall include an
estimate of the amount of time the faculty member is expected to be on
leave. The faculty member will notify
his or her immediate supervisor if the estimate materially changes.
Such
requests must be in writing, but there may be instances where the employee is
unable to make the request by completing the necessary forms at the Office of
Human Resources web site or via a letter.
All conditions covered by this serious illness and disability leave
policy cannot be anticipated. The policy
provided herein is expected to be appropriate in most situations. However, in unusual cases, the faculty member
or other responsible party may be unable to provide the necessary
notification. In those rare instances
where the employee or a member of the employee's family is unable to make the
necessary request, it is the responsibility of the immediate supervisor to
consult with a Human Resources benefits counselor for direction.
The
immediate supervisor will review the request and forward the documentation to
the dean. The dean is responsible for reviewing the documentation and
consulting with the Office of Human Resources. The dean will provide written
notification of the decision to the immediate supervisor, who will then advise
the faculty member. The dean will provide a copy of the notice to the
appropriate vice chancellor and to the Office of Human Resources. If leave is
denied, the written notification will include the grounds for denial.
In the
case of a request for leave beyond the initial 15 week period, the request must
also be reviewed by the appropriate vice chancellor and the Associate Vice
Chancellor for Human Resources. The
person responsible for notifying the faculty member is the Associate Vice
Chancellor for Human Resources. If leave
is denied, the written notification will include the grounds for denial.
The
immediate supervisor is responsible for securing, to the extent possible,
substitute personnel for the duration of the faculty member’s leave. Any adjustments in work schedules within the
unit are at the discretion of the immediate supervisor with the approval of the
dean and are subject to departmental and institutional needs and
resources. In recommending approval of a
leave, the immediate supervisor will develop a written plan to cover the
responsibilities of the faculty member for the duration of the leave. Funding of substitute personnel is the
responsibility of the appropriate vice chancellor.
Nothing in
this policy shall prohibit other faculty members from “covering” for the
faculty member on leave but only so long as the faculty member on leave
complies with this leave policy.
VI. Appeals
A decision
not to grant a request for leave under this policy may be appealed to the
appropriate vice chancellor. The vice
chancellor's decision may be appealed to the chancellor. Appeals of a negative decision must be made
by the faculty member to the next higher level within ten (10) business days of
receipt of the negative decision. The vice chancellor and chancellor must
respond to an appeal within ten (10) business days of receipt of the appeal.
VII. Confidentiality
Communications
concerning leave requested or granted under this policy are subject to the same
confidentiality requirements as other personnel records in accordance with
VIII. Record-Keeping
Because
this policy provides an important financial benefit, accurate records on all
requests for leave, whether or not the request is granted, must be
maintained. The immediate supervisor
shall be responsible for forwarding all records pertaining to the use of this
policy to the Office of Human Resources.
The Office of Human Resources will maintain the official records
concerning requests for leave under this Policy, and may, from time to time, be
required to make general reports on its use to other University administrators
and to the
IX. Coordination
with Other Policies
ECU's
A
permanently tenured faculty member granted leave under this policy may have his
or her five-year cumulative review delayed by a period agreed upon by the
faculty member, the faculty member's immediate supervisor, the dean, and the
appropriate vice chancellor.
The terms
of this policy pertain only to a leave for a specified period because of
illness or disability. This policy has no effect on provisions for other types
of leave as described in the
The leave
provided for under this policy shall have no effect on the faculty member’s
other employment benefits.
X. Effective Date
This policy shall become effective immediately upon approval
by the Board of Trustees of
(Approved: May 6, 2005,
VIII.
Frequently Asked Questions About Faculty Personnel Records
1. What is the definition of a
“personnel file?”
2. Where can I find the state laws that
pertain to personnel records?
You
will find the statutes that relate to personnel records for state employees in
the General Statues of
You
can also access the statutes on the Internet at:
www.ncga.state.nc.us/Statutes/Statutes.html or
www.allaw.com/state_law_search/north_carolina/
PLEASE NOTE THAT THE
STATUTES REPORTED ON THE INTERNET MAY NOT BE ACCURATE AND MAY NOT BE UPDATED IN
A TIMELY MANNER TO REFLECT THE LATEST SUPPLEMENTS.
Section
126-5 of the General Statutes of
3. What does “wherever located and in
whatever form” mean?
It
means that your personnel records may be located in different offices on
campus. Documents that meet the
statutory definition will be considered personnel records.
4. Where is my personnel file located?
Faculty
will have a primary personnel file located in his/her Code Unit Administrator’s
Office. In addition, there may be other
files containing personnel records that are located in approved University
offices. The Department of Human
Resources will have only documents about faculty employment that reflect basic
employment and benefits information.
Please consult the Personnel File Checklist that has been attached to
the inside cover of your primary personnel file to confirm the offices where
your personnel records are located. (
5. Are there other files that may
contain information about me?
Records
related to your employment may be found in the offices identified in FAQ # 4
and FAQ #5. However, if you have filed a grievance, an appeal of
non-reappointment or non-conferral of tenure; or a complaint was filed by you
or against you with the ECU EEO Office alleging sexual harassment,
discrimination based on age, race, religion, or disability, or a violation or
the amorous relations policy; or you are subject to a disciplinary action,
records from your personnel file may be included in an appeal hearing file or
investigative file prepared by the EEO Office or by the University Attorney’s
Office.
Please note
that those personnel records in the EEO Office
or the University Attorney’s
Office remain confidential, but the documents collected and/or created in those offices
would be part of an investigative/preparation file and would not be considered part of your personnel
file. Disclosure of documents in those
files would be subject to the applicable University policies and state
laws. Additionally, the University would
formally notify you in accordance with the relevant policy, if a complaint or
grievance was filed against you, and would follow the procedures prescribed for
due process. In most cases, personnel
documents maintained in those files would be duplicates of documents in your
primary personnel file.
If you have
any questions about University policies that are referenced above, you may wish
to review these sections of the ECU
Faculty Manual:
Appendix D. Procedures
for Appeal of Notice of Non-Reappointment or
Non-Conferral
of Permanent Tenure
Commitment
Appendix J. Informal Faculty
Grievance Procedure for Grievances
Involving
Sex Discrimination and Other Equal Employment
Faculty
Appendix V. Sexual Harassment, Discrimination,
and Conflicts of Interest
Policies
Appendix W. Racial
and Ethnic Harassment Policies
Appendix X. Grievance Procedures for Complaints of
Sexual or Racial
Harassment or Discrimination or Conflicts of Interest Brought
Against
Administrators Holding Faculty Status
Appendix Y. Grievance
Policies and Procedures of
6.
Is there any truth to rumor about the existence of secret
files?
No. Personnel files should only be kept in
University offices and should always be accessible to you during regular
business hours with reasonable advance notice.
Administrators shall not keep secret files and shall not include anonymous
material in personnel files, except student opinion surveys. See Frequently Asked Question #4 for the file
locations. (
7. When can I review my personnel file?
Although
your personnel file is about you, it is University property. You have complete access to your personnel
records during regular business hours with advance notice to the custodian of
the records. Advance notice is required
so that your file can be gathered from other offices, if necessary, and so that
confidential documents, like references for initial employment or certain
medical information, can be removed.
Additionally, the custodian of records will need to make arrangements to
have office staff available to oversee the review process to ensure the
integrity and safekeeping of the records and to assist in making copies, if
necessary. While reasonable efforts will
be made to provide you with quick access to your file, it may take some time to
make the necessary arrangements.
Please
note that documents can not be added to or removed from the personnel file at
this time. The University reserves the
right to limit the number of copies and to make only one complete copy of the
PAD.
8. Is any information in my personnel
file considered public information?
Yes. State law requires that the University permit
the public to have access to the following information about your personnel
records: name, age, date of original state employment, current position or
title, current salary, date and amount of most recent salary change, date of
most recent status change (promotion, resignation, termination, etc.), and
current office assignment.
9.
What information is considered confidential personnel
information?
As
stated above in FAQ #8, Section 126- 23 of the General Statutes of
All
other information contained in the personnel file is confidential and shall not
be open for inspection and examination except to the following persons:
1)
The employee, applicant for employment, former employee, or
his/her properly authorized agent, who may examine his/her own personnel file
in its entirety except for (i) letters of reference solicited prior to the
employment, or (ii) information concerning a medical disability, mental, or
physical, that a prudent physician would not divulge to a patient. An employee’s medical record may be disclosed
to a licensed physician designated in writing by the employee;
2)
The supervisor of the employee;
3)
Members of the General Assembly who may inspect and examine
personnel records under the authority of G.S. 120-19;
4)
A party by authority of a proper court order may inspect and
examine a particular confidential portion of a State employee’s personnel file;
5)
An official of an agency of the federal government, State
government or any political subdivision thereof.
10. Is there any information in my personnel file
that I do not have access to?
As mentioned in FAQ # 9, reference
letters solicited prior to employment and medical records that a prudent
physician would not disclose to his/her patient shall not be disclosed to the
faculty member.
11. Does anyone, other than me, have
access to my confidential personnel records?
Yes. Anyone that you properly authorize (in a written
release) may have access to your records.
Your supervisor(s), members of the General Assembly, anyone with a
proper court order, and officials of federal and state agencies may also
inspect and examine your personnel records.
In accordance with Appendix D of the ECU
Faculty Manual, the Personnel Action Dossier is compiled by candidates for
reappointment, promotion, and/or permanent tenure in consultation with the unit
administrator and the Unit Personnel Committee.
The Code Unit Administrator and the Unit Personnel Committee have access
to your personnel records.
12. What can I do if I consider material
in my personnel file to be inaccurate or misleading?
Section
126-25 of the General Statutes of
13. How long does the University keep my
personnel file?
Personnel
records are kept in accordance with the Record Retention and Disposition
Schedule approved by the University Archivist, the Director of the Division of
Archives and History, the Chancellor, and the Secretary of Cultural
Resources. Although it depends on the
type of document, most personnel records are stored, and transferred to the
14. If I have other questions about my
personnel file, where should I look or whom should I contact for more
information?
For
more specific information, you may refer to the General Statutes of
FACULTY PERSONNEL FILE CHECKLIST
(Division of Academic Affairs)
Your
primary personnel file is located in the office of your Code Unit
Administrator, Dr./Dean__________, and may be reviewed at any time during
regular business hours with advance notice to the custodian of records or
his/her designee. Advance notice is
required so that your files can be gathered from other offices, if necessary,
and so that confidential documents, like references for initial employment or
certain medical information, as described in the General Statutes of
Please
note that you cannot add to or remove documents from your personnel files at
the time you review your files. If you
have concerns about documents in your files, please bring them to the attention
of the custodian of records. You can
object to inaccurate or misleading information in your files by putting your
objections in a written statement to your Code Unit Administrator, who will add
your statement to the file(s) you are concerned about. Removal of offensive materials may be sought
in accordance with the procedures in Appendix Y of the ECU Faculty Manual.
Location
of Records Related to Employment:
_____ Code Unit Administrator’s Office
_____ Dean’s Office
_____ Academic Department Chair’s Office in
Professional Schools
_____ Vice Chancellor for Academic Affairs’ Office
_____ Department of Human Resources
Other
Files Containing Personnel Records May be Located:
_____ Equal Employment Opportunity/Affirmative Action
Office
_____ University Attorney’s Office
_____
Please note that reference letters solicited prior
to employment and medical records that a prudent physician would not disclose
to his/her patient shall not be disclosed to you and should be kept in a sealed
envelope that can be easily removed from your file. Additionally, medical records related to a
medical condition or disability should be maintained in a separate envelope. Questions
about your personnel records should be directed to the
FACULTY PERSONNEL FILE CHECKLIST
(Division of Health Sciences)
Your primary personnel file is located in the office
of your Code Unit Administrator, Dr./Dean ____, and may be reviewed at any time
during regular business hours with advance notice to the custodian of records
or his/her designee. Advance notice is
required so that your files can be gathered from other offices, if necessary,
and so that confidential documents, like references for initial employment or
certain medical information, as described in the General Statutes of
Please note that you cannot add to or remove documents from your
personnel files at the time you review your files. If you have concerns about documents in your
files, please bring them to the attention of the custodian of records. You can object to inaccurate or misleading
information in your files by putting your objections in a written statement to
your Code Unit Administrator, who will add your statement to the file(s) which
concern(s) you. Removal of inaccurate or
misleading materials may be sought in accordance with the procedures in
Appendix Y of the ECU Faculty Manual.
Location
of Records Related to Employment:
_____ Code Unit Administrator’s Office
_____ Dean’s Office
_____ Academic Department Chair’s Office
_____ Center Administrator’s Office (
_____ Department Section Head’s Office
_____ Vice Chancellor for Health Sciences’ Office
_____ Department of Human Resources
Other
Files Containing Personnel Records May be Located:
_____ Equal Employment Opportunity/Affirmative Action
Office
_____ University Attorney’s Office
_____
Additional Records for Physician Faculty - located at Brody SOM and
_____ Medical Faculty Practice Plan
Benefits Office
_____ Managed Care Office
_____ ECU Physicians Credentialing
Office
_____ PCMH Credentials Verification
Office (Medical Staff Support)
This notifies you that certain Brody School of
Medicine or other ECU offices (including, but not limited to, University
Attorney, Equal Employment Opportunity, Compliance, BSOM Risk Management, CME,
etc.) may maintain records (including, but not limited to, attendance records
for mandatory training sessions, orientation, and CME programs; routine audits
of medical records and billing documentation; Quality Assurance; malpractice;
etc.) related to your employment and which may constitute personnel records.
Should you wish to verify whether such offices maintain records related to your
employment, you may contact the specific office for further information
regarding your records and/or _________ within the Office of the Vice
Chancellor for Health Sciences.
Please note that reference letters solicited prior
to employment and medical records that a prudent physician would not disclose
to his/her patient shall not be disclosed to you and should be kept in a sealed
envelope that can be easily removed from your file. Additionally, medical records governed by
General Statute, if any, would be maintained in a separate envelope. Questions about your personnel records should
be directed to the Faculty senate office or to the University Attorney’s
office.
Approved:
April 5, 2000
Amended:
Faculty Senate Resolution #03-14, March 2003
PART VII
RESEARCH INFORMATION
CONTENTS
I. Policy and Guidelines for External
Funding (Formerly Appendix O)
A. Introduction
B. Policy Statement
C. Exceptions
D. Definitions
E. Clearance
Procedures for Contracts, Grants, and Cooperative Agreements
F. Clearance
Procedures for Soliciting Gifts
G. Acceptance of Gifts
H. Recording,
Acknowledgment, and Disposition of Gifts
I. Maintenance of
Prospect and Resource Files
J. Preparation of
Fund-Raising Literature
K. Scheduling of
Fund-Raising Activity
L. Budget Information
for Fund-Raising Projects
M. Involvement of
Volunteers in Fund-Raising Efforts
N. Public Statements
Regarding Gifts
O. Special Projects By
Non-university Related Organizations
II. Patent Procedures
A. General
B. Responsibilities of
University Personnel
C. Publication and
Public Use
D. Requests for Waiver
of University Rights by the Disclosing Party
E. Revenue Sharing
F. Administration
III. Copyright Policy
- Introduction
- Scope and Coverage
- Definitions
- Use of Copyrighted Works
- Copyright Ownership
- Administration
- Dispute Resolution
IV. Principles and Policy for the Protection of
Human Subjects of Research
(Formerly Appendix R)
A. Statement of
Ethical Principles
B. Institutional
Policy
C. Implementation of
Policy
V. Animal Care and Use in Research and
Instruction (Formerly Appendix S)
A. Policy
B. Responsibilities
VI. Policy and Procedures on Ethics in Research
and Creative Activities
(Formerly Appendix U)
A. Policy
B. Procedures for
Reporting, Investigating, and Determining Penalties for Unethical Activities
VII. Policy on the Custody, Retention, Transfer
and Access to Research Data and Records
I. Policy and
Guidelines for External Funding (Formerly Appendix O)
A. Introduction
As a constituent institution of
The University of North Carolina,
B. Policy Statement
The basic principle affirmed in
this policy statement is that
C. Exceptions
The East Carolina University Educational
Foundation (Pirate Club) and the East Carolina University Medical Foundation
shall be exempt from the policies and reporting procedures stated in this
document where private gifts which clearly entail no contractual obligations by
ECU of direct benefit to the contributor are involved. (See "Definitions" for
clarification of the term "gift" as used in this policy
statement.) Any uncertainty in this regard
shall be resolved by discussion with the vice chancellor for institutional
advancement. In order that each university fund‑raising program may
achieve maximum results, it is anticipated that all foundations will
communicate with each other and coordinate their activities.
D. Definitions
Terms used in this policy statement are defined below.
1. Gift
A gift is an item of value, ownership of which is
voluntarily transferred from one party to
Examples of restricted gifts are sums of money which are
used to finance building projects, create scholarship funds, or establish
individual scholarships and items of equipment which are designated for use
only in certain activities or by specific departments or schools. Where cash or
property‑in‑kind is given in response to a proposal for a specific
project, the transaction should be considered as a gift when the donor is an
individual or a for‑profit commercial enterprise, and as a grant when the
donor is a governmental agency or private nonprofit foundation or
organization. Gifts or grants of cash or
property-in-kind from foundations (corporate foundations) which remain under
the financial or other control of a for‑profit corporation should be
treated as gifts. A proposed "gift" by a for‑profit commercial
enterprise which is contingent upon ECU or one of its units conducting
specified research or providing other specified services which redound to the
direct benefit of the commercial enterprise should not be considered as a gift,
but should be considered and treated as a contract to be coordinated with the
office of Sponsored Programs as outlined below. Occasionally, it may seem
advantageous to combine an agreement to conduct specified research or provide
other specified services on behalf of a commercial enterprise with an
understanding that the commercial enterprise will make a gift of cash or
equipment to the university which may be restricted to use by a specific
school, department, or even individual.
Such arrangements are fraught with legal and ethical problems and should
be thoroughly discussed with the office of Institutional Advancement before any
commitments are made.
2. Contract
In general, a contract is given for a project where the
funding agency has already identified the need, determined the type of activity
required to meet this need, identified the expected outcomes for the project,
selected an acceptable cost range, and estimated the time required to complete
the project. Often, the funding agency
merely chooses the best among several candidates to carry out the project and
may exert fairly strict management control over the contract recipient. Contracts are typically awarded by the
federal government in response to requests for proposals (RFP's), by state and
local government agencies, and by for‑profit commercial entities (single
owner companies, partnerships, and corporations). Unsolicited proposals, i.e., proposals
submitted on the initiative of the would‑be principal investigator or
project director rather than in response to an RFP, may also result in a
contract. In most cases, progress
reports, a final report, and a financial report are required by the sponsor,
and the project is in most cases subject to audit. From the sponsor's point of view, contracts
are typically entered into to produce a specific product (often simply a report
or service) which is of direct benefit to the sponsor. Typical contracts with
commercial firms entered into by the university in recent years include
environmental impact studies, clinical drug studies, field testing of
psychological questionnaires, and internship agreements for psychology and
allied health students. Typical
contracts with government agencies include the conduct of specific research
and/or development for various federal government departments, the provision of
health and educational services for a number of state government departments,
and the provision of student interns to various local government units.
3. Grant
A grant is typically awarded for projects where most or all
of the factors outlined above have not yet been determined. Grants are frequently awarded for
experimental projects or for projects where the idea and purpose of the award
have been suggested by the grantee. In
general, grants are characterized by greater latitude in shifting funds among
budget categories, more flexibility in the timetable necessary for completing
various elements of the project, and more freedom in the methods used to
accomplish the intended outcome. Grants
are typically awarded by the federal government and by private nonprofit
foundations and organizations. In most
cases, a final report and a financial report are required, and the project is
often subject to audit. In the case of
small grants (usually with a specified limit of typically $10,000‑15,000),
reporting requirements are often reduced or eliminated entirely. Outcomes of the project are typically not of
direct benefit to the sponsor of a grant.
4. Cooperative
Agreement
A cooperative agreement shares some of the attributes of
both the traditional relationships, but is more like a contract than a
grant. The funding agency retains an
interest in procedures, timetables, etc. and works cooperatively with the
awardee so as to share responsibility for achievement, changes in methods,
delays, etc.
A cooperative agreement is most likely to be used by certain
agencies of the federal government.
E. Clearance
Procedures for Contracts, Grants, and Cooperative Agreements
All proposals to governmental, private nonprofit, or
corporate agencies or organizations for a contract, grant, or cooperative agreement
to support research (including clinical research), instruction, public service,
or other activities to be conducted by any faculty or staff member or other
person associated with the university shall be coordinated in advance of
submission with the Office of Sponsored Programs and submitted in accordance
with the policy and procedure statements set forth in the ECU BUSINESS MANUAL.
This policy applies irrespective of which ECU office or ECU‑affiliated
agency may ultimately administer the funded grant, contract, or cooperative
agreement. It does not apply to
preliminary or informal inquiries, whether oral or written, to determine
whether a potential sponsor may be interested in considering a proposal for a certain
project. However, the policy does come
into effect when such inquiries result in encouragement from the potential
sponsor to submit a letter or a written proposal or when the inquiries proceed
to a point where commitments or funding levels are discussed. The importance of following the procedures
referred to above whenever university personnel, facilities, equipment, or
supplies are to be employed cannot be overemphasized.
F. Clearance
Procedures for Soliciting Gifts
Faculty or staff members who wish to undertake any type of
fund-raising project shall contact their department or unit head, dean, or vice
chancellor, as appropriate, concerning the appropriateness of the proposed
project and its adherence to department, division, and university
priorities. At the same time, they are
encouraged to contact the Office of Institutional Advancement to discuss the
idea and its possibility for funding.
Once a project has been approved through the originator's division, the
originator shall send a memorandum to the Office of Institutional Advancement
containing, as a minimum, the following information:
1. the
purpose for which the solicitation will be made,
2. the
amount of money or type of gift to be requested,
3. the
name(s) of any known prospect(s) (individual, corporate, or foundation) suggested
for solicitation,
4. the
approximate date recommended for solicitation, if appropriate, and
5. a
statement to the effect that the project has been approved by the originator's
division
In evaluating the proposed solicitation, the Office of Institutional
Advancement will attempt to identify potential sponsors in addition to the
prospect(s) suggested by the originator of the project. The Office of Institutional Advancement will
consider each prospect's university affiliations, other interests, past giving
record, past and present solicitation activity, and specific project interest,
if known.
Clearance through the Office of Institutional Advancement of
the solicitation will be given in writing outlining the level of involvement by
the Office of Institutional Advancement
and the individual or department submitting the request. For example, the entire solicitation project
might be conducted by the Office of Institutional Advancement; or a particular
faculty member or dean and a support group, such as the Friends of the Library,
may be authorized to conduct the project; or a combined effort with joint
solicitation calls by members of the Office of Institutional Advancement, key
faculty members, and/or volunteers may be endorsed.
Postponement by the Office of Institutional Advancement of
the project will also be given in writing with the reason(s) for the
decision. The vice chancellor for
institutional advancement will be available to discuss the postponement, the
relative priority of the project, and rescheduling the solicitation with the
sponsor and his or her vice chancellor.
G. Acceptance of Gifts
Acceptance of a gift‑‑whether in cash or in kind‑‑imposes
a legal obligation to comply with the terms established by the donor. Therefore, it is necessary that the nature
and extent of this obligation be clearly understood. For this reason, the terms of each restricted
gift will be reviewed to ensure that they do not hamper the usefulness or
desirability of the gift to ECU. If a
gift is deemed unacceptable because of the restrictions the donor has placed on
its use, the donor will be requested to remove or modify the restrictions, as
appropriate. A gift will be refused or
returned when it
1. is
determined to be for a purpose inappropriate or not in the best interest of ECU
or
2. would
obligate ECU to undertake responsibilities, financial or otherwise, which it
may not be able or willing to meet for the period required by the terms of the
gift.
Gifts‑in‑kind will be reviewed with special care
to assure that acceptance will not involve excessive financial commitments or
other obligations disproportionate to the usefulness or value of the gift. Consideration will be given to such factors
as the cost of maintenance, cataloging, delivery, insurance, display, and space
requirements for exhibition or storage.
When gifts‑in‑kind are given to ECU with the
intent of the donor to receive a tax deduction, it shall be the responsibility
of the donor (not ECU) to obtain an appraisal establishing the value of the
gift for tax purposes. ECU shall not
become involved in the appraisal process, as such involvement could result in
the appraisal's accuracy and objectivity being challenged by the Internal
Revenue Service.
H. Recording,
Acknowledgment, and Disposition of Gifts
It shall be the responsibility of the Office of
Institutional Advancement gift records office to officially record and receipt
all gifts, including cash, pledges, securities, trusts, insurance policies,
real estate, and other gifts‑in‑kind to East Carolina University or
any agency thereof. Therefore, all gifts
shall be processed through the gift records office, where they will be entered
on the central donor file and a receipt issued before any gift is deposited in
any university account, transferred to any unit's property record, or otherwise
disposed of. Gifts‑in‑kind
will become the property of
Official acknowledgment of gifts to the university shall be
coordinated through the Office of Institutional Advancement. The chancellor will acknowledge all major
gifts. Other principals in a particular
gift transaction are also encouraged to express their personal gratitude or the
appreciation of their department or school and are requested to forward a copy
of their letter to the Office of Institutional Advancement for the central
donor file.
I. Maintenance of
Prospect and Resource Files
It shall be the responsibility of the Office of
Institutional Advancement to establish and maintain prospect and resource files
for the purpose of providing timely and relevant information about prospective
individual donors, private foundations, and corporations. To assist in the fulfillment of this
responsibility, each solicitation or cultivation contact (where specific
information is gained that will be of use in future solicitation at tempts)
with a prospect or donor by any representative or agent of the university shall
be reported to the Office of Institutional Advancement on a call report form,
which identifies the purpose of the contact, the major points of discussion,
and the recommended action(s) to maximize the benefit of the contact. Call report forms will be made available by
the Office of Institutional Advancement.
J. Preparation of
Fund-Raising Literature
All literature, including brochures, booklets, and letters,
used to attract private funds to ECU shall be coordinated through the Office of
Institutional Advancement in order to ensure that the most accurate information
appropriate to a particular fund-raising effort is reflected.
K. Scheduling of
Fund-Raising Activities
It shall be the responsibility of the Office of Institutional
Advancement to establish and maintain a master calendar which incorporates the
schedule of all mailings, solicitations, and other fund‑raising
activities to ensure the potential for maximum success for each.
L. Budget Formulation
for Fund-Raising Projects
The formulation of budgets which are to be spent for private
fundraising projects in the name of the university shall be the joint
responsibility of the vice chancellor for institutional advancement and the
appropriate individual or group representing the project.
M. Involvement
of Volunteers in Fund-Raising Efforts
Whenever volunteers are to be
involved in fund-raising efforts, it shall be the responsibility of the Office
of Institutional Advancement to assist in the selection and recruitment of the
volunteers and to assist in their training in order for them to be more
effective in soliciting funds.
N. Public Statements
Regarding Gifts
It shall be the responsibility of the ECU News Bureau, in
conjunction with the Office of Institutional Advancement, to initiate the
preparation of all public statements concerning gifts to the university or to
any of its units. Project sponsors and
other appropriate individuals will be asked to supply pertinent information and
will be involved in coordinating the public announcement.
O. Special Projects by
Non-university Related Organizations
The university neither encourages nor endorses the use of
the
Approved: 17 February 1984
II. Patent Procedures of
A. General
1. As
defined by the patent and copyright policies of the Board of Governors,* to which these procedures are expressly
subject, East Carolina University has an interest in all inventions of
University personnel (Disclosing Party) that are conceived or first actually
reduced to practice as a part of or as a result of University research,
activities within the scope of the Disclosing Party’s employment by the University, or activities
involving the use of University time, facilities, staff, materials, University
information not available to the public, or funds administered by the
University.
2. The
University may also have an interest in inventions under the terms of
contracts, grants, or other agreements.
Faculty, staff, and students whose inventions are made on their own time
and without University facilities, materials, or resources and which inventions
are, therefore, their exclusive property as specified by the patent and
copyright policies may avail themselves of the opportunity to submit the
invention to the University for consideration of possible patenting and/or
commercial exploitation and management under terms to be agreed between the
Disclosing Party and the University.
3. The
provisions of the patent procedures are subject to any applicable laws, regulations,
or specific provisions of the grants or contracts, which govern the rights in
inventions made in connection with sponsored research.
4. Under
the terms of certain contracts and agreements between the University and
various agencies of government, private and public corporations, and private
interests, the University is or may be required to assign or license all patent
rights to the contracting party. The
University retains the right to enter into such agreements whenever such action
is considered to be in the best interest of the University or the public. Ordinarily the University will not agree to
assign rights in future inventions to private corporations or businesses.
B. Responsibilities
of University Personnel
1. University personnel who, either alone or in
association with others, make and/or conceive an invention within the scope of
their University employment, in which the University has or may have an
interest, shall disclose such inventions in a timely manner on forms provided
for this purpose by the Office of Technology Transfer http://www.research2.ecu.edu/ott/inventors/inventors1default.htm. The
Office of Technology Transfer will promptly acknowledge its receipt of
completed disclosure forms and will distribute such forms as soon as
practicable to the University Patent/Intellectual Property Committee (Committee) for consideration. The Committee will strive to preserve the
right to timely publication by faculty.
The
Committee will review each written disclosure promptly. The Disclosing Party or his or her representative shall be allowed
to examine all written materials submitted to the Committee in connection with
his or her disclosure and to make a written and, where practical, oral
presentation to the Committee. The
Committee will decide on the proper disposition of the invention to secure the
interest of the University, the Disclosing Party , the sponsor, if any, and the
public. The Committee’s decision may include, but is not limited to,
one or a combination of the following:
a. to
submit the disclosure for review by a patent or invention management firm;
b. to
make inquiries of potential licensees that may have an interest in the invention,
including the financing of a patent application, where applicable;
c. to
study the practicality of applying for a patent with available University
resources;
d. in
proper cases, to release its rights to the Disclosing Party subject to an agreement to protect the
interests of the University, the sponsor if any, and the public, including an
obligation to pay to the University a percentage of future royalties; and
e. to
dedicate the invention to the public.
The
Committee will strive to review and consider the merits of each disclosure as
soon as practicable given the circumstances surrounding the disclosure, but not
longer than within three months from the time of disclosure to the University.
The Disclosing Party will be notified in writing of the decision of the
Committee on (1) the equities involved including financial participation, (2)
whether the University plans to file a patent application, or (3) whether the
University will accept assignment of the invention for patenting, licensing and/or
commercial handling as applicable. If
the University chooses neither to file a patent application or otherwise make
available commercially nor to dedicate to the public an invention in which it
asserts its rights, the invention, at the Committee's discretion, may be
released in writing to the Disclosing Party, with the permission of the
sponsor, if any.
If,
after the University has filed a patent application, it decides to abandon the
patent, the Disclosing Party will be promptly notified in writing, and all
rights at the Committee's discretion may be released by written agreement to
the Disclosing Party, with the permission of the sponsor, if any.
In
those cases in which the University has obtained a patent without obligation to
sponsors and, if no arrangement has been made for commercial development within
a reasonable period from the date of the issuance of the patent, the Disclosing
Party may request in writing a release
of the University's patent rights. The
Committee will promptly either grant the request or will advise the Disclosing
Party of the University's plans for the development of the invention.
As
to any invention in which the University has an interest, the Disclosing Party,
upon request, shall execute promptly all contracts, assignments, waivers, or
other legal documents necessary to vest in the University or its assignees any
or all rights to the invention, including complete assignment of any patents or
patent applications relating to the invention.
2. University
personnel may not :
a. sign
patent agreements with outside persons or organizations which may abrogate the
University's rights and interests as stated in the patent policy or as provided
in any grant or contract funding the invention or
b. without
prior authorization use the name of the University or any of its units in
connection with any invention in which the University has an interest.
C. Publication and Public Use
The University strongly encourages scholarly publication of
the results of faculty and student research.
Though the patent and copyright policies do not limit the right to
publish, except for short periods of time necessary to protect patent rights,
publication or public use of an invention constitutes a statutory bar to the
granting of a United States patent for the invention unless a patent
application is filed within one year of the date of first publication or public use. Publication or public use also can be an
immediate bar to patent ability in many
foreign countries.
In order to preserve rights in unpatented inventions, it
shall be the duty of the Disclosing Party, or of his or her supervisor, if the
Disclosing Party is not available to
report immediately to the Office of
Technology Transfer any publication, submission of manuscript for publication,
sale, public use, or plans for sale or public use, of an invention. All disclosures of a University invention or
unpublished research data supporting an invention to non-University individuals
or organizations shall be preceded first by execution of a confidentiality
agreement and/or materials transfer agreement through the Office of Technology
Transfer. In all instances a written
record shall be maintained containing the date and extent a disclosure was made, the name and address of the
person to whom the disclosure was made, and the purpose of the disclosure.
After disclosure to the Committee, the Disclosing Party
shall promptly notify the Office of Technology Transfer of the acceptance for publication of any
manuscript describing the invention or of any sale or public use made or
planned by the Disclosing Party.
D. Requests for Waiver of University Rights
by the Disclosing Party
If the Disclosing Party
believes that the invention was made outside the general scope of his or
her University duties and does not choose to assign the rights of the invention
to the University, the Disclosing Party
shall, in the invention disclosure, request that the Committee determine
the respective rights of the University and the Disclosing Party in the
invention and shall also include in the disclosure information on the following
points:
1. the
circumstances under which the invention was made and developed;
2. the
employee's official duties at the time of the making of the invention;
3. whether
he or she requests waiver or release of any University claims or acknowledgment
that the University has no claim;
4. whether
he or she wishes a patent application to be prosecuted by the University, if it
should be determined that an assignment of the invention to the University is
not required under the patent and copyright policies; and
5. the
extent to which he or she would be willing voluntarily to assign domestic and
foreign rights in the invention to the University if it should be determined
that an assignment of the invention to the University is not required under the
patent and copyright policies.
E. Revenue Sharing
1. The
University shall share revenue, which it receives from patents or inventions
with the Disclosing Party. As noted in
the section above, specific provisions of grants or contracts may govern rights
and revenue distribution regarding inventions made in connection with sponsored
research; consequently, revenues the University receives from such inventions
may be exclusive of payments of revenue
to sponsors or contractors.
Moreover, the University may
contract with outside persons or organizations for the obtaining,
managing, and defending of patents, and any revenue contractually committed to
such persons or organizations may be deducted before revenues accrue to
the University, unless a license
agreement otherwise specifies reimbursement of such expenses by the licensee.
2. The Office of Technology Transfer shall
strive to require the licensee to pay for all past, present, and future patent
expenses, in addition to negotiate fees and/or royalties for each
invention. All remaining revenues after
payment of these expenses (net income) (per the preceding paragraph) shall be
distributed to the disclosing party in a manner consistent with the University
License Income Distribution Policy, which can be found at http://www.research2.ecu.edu/ott/inventors/incomedistrib.htm
but in an amount no less than a distribution of 50 percent of the first
$100,000 net and 25 percent net thereafter.
Applicable laws, regulations or provisions of grants or contracts may,
however, require that a lesser share be paid to the Disclosing Party . In no event shall the share payable to the
Disclosing Party in the aggregate by the
University be less than 15 percent of gross revenues received by the
University.
3. To
the extent practicable and consistent with State and University budget
policies, the remaining revenue received by the University from an invention will be dedicated to research
purposes, including research in the Disclosing Party’s department or unit, if approved by the
Chancellor upon recommendation of the Committee.
F. Administration
1. The
University recognizes that the evaluation of inventions and discoveries and the
administration, development, and processing of patents and licensable
inventions involve substantial time and expense and require talents and
experience that may not be available within the University, therefore the
University may contract with non-University third party experts in technology
licensing.
2. The
Committee shall be represented by at least one representative from each
academic school or college.
Administrative oversight shall be provided by the Vice Chancellor for
Research and Graduate Studies. The
Committee shall review and recommend to the Chancellor or his or her delegate
changes in these procedures, decide upon appropriate disposition of invention
disclosures, resolve questions of invention ownership, recommend to the
chancellor the expenditure of license revenues , and make such recommendations
as are deemed appropriate to encourage disclosures and assure prompt and
effective handling, evaluation, and prosecution of invention opportunities and
to protect the interests of the University and the public.”
Established by UNC Board of
Governors, March 1984
Amended: May 2006
ECU Board of Trustees
III. Copyright Policy
A. Introduction
B. Scope
and Coverage
This Policy applies to the faculty,
staff, and students of the University.
Compliance with the terms of this Policy is a condition of employment
for University faculty and staff, and of enrollment for University
students. This Policy is supplemental to
the Copyright Use and Ownership Policy of the
C. Definitions
Assign: The transfer of one or more of the ownership
rights in a work from the copyright owner to another person or organization.
Author or
Creator: Someone who originates or
contributes copyrightable expression such as poetry, prose, computer
programming, artwork, musical notation, recorded music, animations, video
footage, web pages, architectural drawing, and photographs.
Copyright
License: Written permission to use
copyrighted material that is usually limited to a period of time and/or for a
particular use.
Directed
Works: Works that are specifically
funded or created at the direction of the University, and which may or may not
include exceptional use of University resources.
Derivative Works: Works based upon and substantially similar to
a pre-existing work, that would infringe the pre-existing work without a
license from the author of the pre-existing work.
EPA
Non-Faculty Employee: Employees
designated as exempt from the North Carolina State Personnel Act who hold an
approved administrative or non-teaching position.
Exceptional Use of University Resources: Resources/Support provided by the University
for the creation of a work that is of a degree or nature not routinely made
available to University employees. An
example of exceptional use would be the use of support staff for graphics
design, or computer programming, that is not normally provided to University
employees. Ordinary use of computers,
FAX machines, laboratory space, libraries, office space or equipment, secretarial
services at routine levels, telephones, and other informational resources, such
as the virtual reality system or other special computing equipment, shall not
be considered exceptional use of University resources. Whether an individual
work has been created through exceptional University resources shall be
determined initially by the chair or director of the department in which the
creator has principally been involved or from which he or she has received
resources to fund the work, taking into account the nature and amount of
resources customarily made available to faculty or staff in that
department. At the time that
exceptional resources are approved, the unit administrator of that particular
area of research shall inform that faculty member.
Faculty: Employees designated as exempt from the North
Carolina State Personnel Act (EPA Employee) who hold one of the professorial
ranks of instructor, assistant professor, associate professor, or professor, or
whose title is lecturer, visiting professor, adjunct professor, research
associate professor, post doctoral fellow or the like.
Fair
Use: A use of copyrighted material for
purposes of criticism, comment, news reporting, teaching, scholarship, or
research, which is not an infringement of a copyright. Fair Use is further discussed in Section IV
of this document.
Publication: The public distribution of copies of a work
or the original work by sale or other transfer of ownership, including rental,
lease or loan.
Royalty: A payment made to the owner of a
copyrightable work for use of the work.
SPA
Staff: Employees designated by the North
Carolina State Personnel Act who generally perform a support role for the
University.
Shop
Right: A non-exclusive,
non-transferable, royalty-free right to use a copyrightable work for
educational or research purposes.
Sponsored
Work: Funds supplied under a contract,
grant, or other arrangement between the University and a third party, including
a sponsored research agreement.
Student: Any individual currently enrolled in the
University or its extension programs in undergraduate, graduate or other
academic classes. Teaching, research and
graduate assistants are included for the purposes of this Copyright Policy.
Student
Works: Papers, computer programs,
theses, dissertations, artistic and musical works, and other creative works
made by students.
Traditional or Non-Directed Works:
Pedagogical, scholarly, literary, or aesthetic (artistic) works
originated by faculty or EPA non-faculty employees who maintain creative
control over the work.
Works for Hire: A work prepared by an employee within the
scope of his or her employment or a work specifically commissioned where the
contractual agreement clearly specifies the work shall be considered a work
made for hire.
D. Use of Copyrighted Works
1. Appropriate Use of
Copyrighted Works
The
Copyright Act of 1976, as amended (Title 17, U.S. Code), generally protects
certain rights and privileges of the copyright owner to exclude others from the
right to reproduce and publicly distribute, display or perform a work, as well
as revise or prepare a derivative work based upon a copyrighted work, without
obtaining permission. As an institution
devoted to the creation, discovery and dissemination of knowledge, the
University supports the responsible, good faith exercise of full fair use
rights contained in the Copyright Act.
2. Fair Use
The
“fair use doctrine” of the Copyright Act allows certain statutory exemptions
applicable to academia, recognizing the fundamental non-profit mission of
universities to advance and disseminate knowledge for public benefit. a. Elements of Fair Use
Individuals
from the University community who wish to make fair use of a copyright work
must consider in advance four statutory factors:
i. Purpose
and Character of the Use
The purpose and character of the
use, including whether the use is of a commercial nature or for non-profit
educational purposes.
ii. Nature of the Work
The characteristics of the work
being used, including whether it has been previously published and whether it
is factual or fictional.
iii. Amount of Work to be Used
The amount, substantiality and
qualitative nature of the portion used in relation to the entire copyrighted
work.
iv. Effect on the Market
The
effect of the use on the potential market for or value of the work.
b. Procedure for Making Fair Use
Determinations
The
University Copyright Committee, together with the Office of the University
Attorney, shall issue and, as necessary, revise guidelines to assist University
faculty, EPA non-faculty employees, SPA staff employees, and students in making
fair use evaluations. The Chancellor
shall also maintain copyright and fair use resources at the ECU libraries. The Copyright Management Officer shall advise
faculty, EPA-non-faculty employees, SPA employees and students regarding fair
use determinations pursuant to Section VI.B. hereinafter.
E. Copyright Ownership
Ownership of copyright in
copyrighted works shall depend on the category of the work in question and its
creator.
1. Works by Faculty and EPA Non-Faculty Employees
The ownership of traditional or
non-directed works shall remain with the creator except in the following
circumstances:
a.
Directed Works
Ownership
of directed works shall remain with the University and the creator shall retain
a shop right for use of the work. Upon
written agreement between the University and the creator, the University may
release or transfer its rights in the work to the creator provided, however,
the University maintains a shop right to use of the work. Expense reimbursement and income sharing with
the University shall be considered.
b.
Works Involving Exceptional Use of Institutional Resources
Ownership shall remain with the
University except, upon written agreement between the University and the
creator, the University may release or transfer its rights in the work to the
creator provided, however, the University maintains a shop right for use of the
work. Expense reimbursement and income
sharing with the University shall be considered.
c. Sponsored Works Requiring the
University’s Ownership
Ownership shall be decided in
accordance with the terms of the sponsored programs agreement with the
University:
i. Institutional
Ownership: In the case of institutional
ownership, provided there
is no conflict with a sponsored agreement, the University may:
1) Release or transfer its right to the creator under an
agreement with the creator;
2) Negotiate with the creator for joint
ownership of the work;
3) Require a shop right for the
University’s use of the work;
4) Require expense reimbursement upon
commercialization of the work; and/or
5) Require income sharing upom
commercialization of the work.
ii. Ownership
Not Addressed in Agreement: Provided the
sponsored agreement
does not expressly require copyright ownership by the University or a third
party, ownership shall remain with the creator subject to disclosure to the
University provided, however, the University shall, if practical, be assigned a
shop right for use of the work.
2. Works by SPA Staff
Works for hire
made by SPA staff, working within the scope of their employment, shall be owned
by the University except the University may enter into a written agreement in
advance to transfer copyright ownership to the SPA staff employee.
3. Works by Independent Contractors
Works developed
by independent contractors shall be owned in accordance with the contract under
which the work was created. The
University unit entering into arrangements for work to be produced by an
independent contractor shall insure that the written contract specifies
institutional ownership. Any exceptions
shall be approved by the appropriate Vice Chancellor or designee.
4. Works by Students
Students may
produce works while carrying out activities related to their enrollment at the
institution or while employed by the institution. Examples of student works are papers,
computer programs, theses, dissertations, artistic works, and musical
works. Copyright ownership of student
works shall remain with the student except in the following circumstances:
a. Sponsored
or Externally Contracted Works
Ownership
shall be in accordance with Section V.A.3. of this Copyright Policy, Sponsored
Works Requiring the University’s Ownership, hereinabove.
b. Works
for Hire
Student
works created in the course of employment with the University shall be
considered Works for Hire and shall be owned by the University.
c. Derivative
Works
The sale or commercial use of
derivative works without the express written permission of the author may
violate the copyright rights of the author.
Commercial exploitation of these materials (which may include faculty
lectures, notes from faculty lectures, syllabi, and other course materials)
without express written permission of the instructor may result in disciplinary
action in accordance with University policies.
5. Joint Ownership
Copyright holders, including
faculty, EPA non-faculty employees, SPA staff employees and students may enter
into written joint ownership agreements with one another at their discretion,
with the approval of the Chancellor or his designee.
F. Administration
1. University Committee on Copyrights
The University Committee on Copyrights is hereby established
and shall have the responsibilities as the Chancellor may specify, including
but not limited to the following:
a. Monitor trends in such areas as
institutional copyright use policies, changes in copyright ownership models,
and guidelines for fair use information;
b.
Identify
areas in which policy and guideline development or revisions are required, and
make recommendations to the Chancellor;
c. Cooperating with the administration to propose
University policies and guidelines regarding ownership and use of copyrighted
or licensed scholarly works;
d. Assist in identifying educational needs of
the faculty and others related to compliance with copyright policies and
guidelines, and advising on appropriate ways to address those needs; and
e. Under procedures specified herein, hearing
and recommending resolution of disputes involving copyright ownership.
The committee shall consist of 13
members: representatives of the student body, EPA-non-teaching employees, SPA
employees, the libraries, the Office of the University Attorney, the Office of
Technology Transfer, the Copyright Management Officer, the Vice Chancellor for
Research and Graduate Studies or designee who shall chair the Copyright
Committee, and five faculty members who will be elected by the
2. Copyright Management Officer
The
position of Copyright Management Officer is hereby established to advise
faculty, EPA-non-faculty employees, SPA employees, and students who have fair
use and copyright permission questions related to University business or
student works. The Copyright Management
Officer’s duties shall also include the following:
a.
Assist
in identifying educational needs of the campus community related to compliance
with copyright policies and guidelines, and advising on appropriate ways to
address those needs;
b.
Serve
as a member of the University Committee on Copyrights.
3. Works Subject to Both Copyright
and Patent Protection
Works subject to protection under
both patent law and copyright law shall be reviewed by the Office of Technology
Transfer and the University Committee on Intellectual Property/Patents. If the University elects to retain title to
its patent rights, the inventor/creator shall assign copyright and patent
rights to the University. The
inventor/creator shall be compensated in accordance with University policy.
4.
Disclosure to the University Committee on Intellectual Property/Patents
Whenever faculty, EPA non-faculty
employees, SPA staff or students of the University create copyrightable
material which is or may be owned by the University or a third party and which
may also have commercial application, a disclosure of the existence of the
material should be made, in writing, to the University Committee on
Intellectual Property/Patents. The
written disclosure should be made as soon as practical prior to or after
creation of the work.
G. Dispute Resolution
1. Jurisdiction
Any
University faculty, EPA non-faculty employee, SPA staff employee, or student
may seek resolution of a dispute regarding fair use or copyright ownership of a
work governed by this Copyright Policy, including a dispute over whether use of
University resources is an exceptional use, by filing a written request with
the Chair of the University Committee on Copyrights, who shall appoint a
5-member panel to hear the dispute with 3 panel members being selected from the
elected faculty members of the committee.
Review of all matters related to copyright shall fall under the exclusive
jurisdiction of the University Committee on Copyrights, subject to the normal
appeal processes.
2. Conduct of the Hearing
In its discretion, the panel may
elect to conduct a hearing into the matters or may make a recommendation based
upon the written record, provided that all parties to the dispute are given an
opportunity to present evidence and arguments in support of their respective
positions. The panel will make every
effort to mediate these matters prior to any hearing. Each party shall provide the other party with
a copy of any written materials submitted to the panel simultaneously with
submission of such materials to the panel.
Any hearing will be conducted following procedures set forth in writing
by the panel or promulgated by the University Committee on Copyrights. No party shall have the right to be
represented by counsel before the panel, but any party may be accompanied at a
panel hearing by an advisor of his or her choosing, who shall not participate
in the hearing.
3. Disposition
Each panel shall report its written
findings, conclusions and recommendations for disposition of the matter to the
appropriate Vice Chancellor(s) on behalf of the Chancellor, within forty-five
days of appointment of the panel by the Chair of the University Committee on
Copyrights. The Chair of the Committee
may extend the time period of such report by not more than thirty days for good
and reasonable cause. Copies of such
findings, conclusions, and recommendations shall be provided to all parties. Upon receipt of such findings, conclusions,
and recommendations, the appropriate Vice Chancellor(s) shall issue a written
decision in the matter. The decision
shall be final, subject to appeal rights under The Code of the
Approved:
ECU
Chancellor, May 8, 2002
Office of the President, August 6, 2002
______________________________________
IV. Principles and
Policy for the Protection of Human Subjects of
Research (Formerly Appendix R)
· A. Statement of Ethical Principles
· B. Institutional Policy
· C. Implementation of Policy
A.
Statement of Ethical Principles
1.
East
Carolina University has adopted as a guiding statement of ethical principles
the three comprehensive principles
and three applied requirements as set forth in the report of the National
Commission for the Protection of Human
Subjects of Biomedical and Behavioral Research dated April 18, 1979, and
entitled The Belmont Report: Ethical Principles and Guidelines for the
Protection of Human Subjects of Research. Respect for persons, beneficence, and justice are the three basic
principles; consent, favorable risk/benefit assessment, and selection of
subjects, are the three requirements.
2. In addition,
Center Institutional Review Board (UMCIRB), has adopted as
further
guiding principles the
following existing code:
·
World
Medical Association Declaration of
3. In addition, East Carolina
University acknowledges and accepts the
requirements set forth in Title 45, Part 46 ofthe Code of Federal Regulations
(45 CFR 46) for all applicable DHHS-funded research and, except for the
requirements for reporting information to DHHS, and all other human research
regardless of source of funding.
B.
Institutional Policy
It
is the policy of
different functional ways:
1. as a policy-recommending
or "policy-making" and appellate body subservient to the chancellor
for the protection of the rights of human subjects or research conducted at or
sponsored by the university and
2. as a
research-review body for human research projects in order to apply determined
policies towards the protection of human subjects of research.
The UMCIRB serves presently as the IRB with the
responsibility and authority to review all human research activities at/or
sponsored by the university which are regulated by 45 CFR 46 or by the FDA or
are sponsored by extramural agencies and also all other activities involving
human subjects of research at/or sponsored by the university.
C. Implementation of Policy
In all
activities including human research subjects, the chairperson of the pertinent
department or head of the academic unit is responsible for ensuring
that the principal investigator's research activities are performed according to the institutional statement of principles that
includes existing ethical codes and the UMCIRB Standard Operating Procedures as
guidelines for protecting the rights and welfare of human research subjects The
IRB shall have the authority to suspend or terminate approval of research that
is not being conducted in accordance with the IRB's requirements or that has
been associated with unexpected serious harm to subjects according to 45 CFR
46.113. The IRB will provide a report to
the investigator, institutional officials, and sponsoring agency. Principal
investigators of research studies involving human research subjects must submit
a complete protocol, current UMCIRB processing form, informed consent document,
and any other study related materials. The appropriate forms, instructions and
details related to submission can be obtained through the
UMCIRB office. A copy of all research study materials including signed informed
consent and study related correspondence must be maintained by the principal
investigator for at least 3 years or longer if required by
the research sponsoring agency.
Investigators are responsible for reporting the progress of
UMCIRB-approved research to the Office of the UMCIRB, through the use of a
renewal or continuation Internal Processing Form, no less often than once per
year as
set forth in 45 CFR 46.109. In addition, research investigators
are responsible for reporting promptly to their department chair and to the
UMCIRB office, any significant injuries to human subjects or any unanticipated
problems which involve risks to the research subjects or
others.
Approved: 27 September 1984
East
Carolina University
Amended: 27 June 2001
________________________________________________________________
V. Animal Care and Use in Research and Instruction
(Formerly Appendix S)
A. Policy
It is the policy of
Procedures involving animals should be designed and
performed with due consideration of their relevance to human or animal health,
the advancement of biological knowledge, or the good of society. The animals selected for a procedure should be
of an appropriate species and quality and the minimum number required to obtain
scientifically valid results.
Statistical analysis, mathematical models, or in vitro biological
systems will be used when appropriate to complement animal experiments and to
reduce numbers of animals used.
Proper care of animals, including the avoidance or
minimization of discomfort, distress, or pain, is a moral imperative. Lacking evidence to the contrary,
investigators should consider that procedures that cause pain in human beings
cause pain in other animals. Procedures
with animals that may cause more than momentary or slight pain or distress
should be performed with appropriate sedation, analgesia, or anesthesia. Surgical or other painful procedures shall
not be performed on unanesthetized animals paralyzed by chemical agents. Animals that would otherwise suffer severe or
chronic pain or distress that cannot be relieved should be painlessly killed at
the end of the experiment or, if appropriate, during the experiment.
The living conditions of animals kept for biomedical
purposes should contribute to their health and comfort. The housing, care, and feeding of all animals
used for these purposes will be supervised by the university veterinarian. Investigators and other personnel shall be
appropriately qualified and experienced for conducting procedures with living
animals. Adequate arrangements shall be
made for their in-service training, including the proper and humane care and
use of laboratory animals.
If it is deemed necessary to waive one of the foregoing
principles, the decision should be made with due regard by the scientist to the
value of the research and only after review and approval by the Animal Care and
Use Committee. Such waivers will not be
made where the primary purpose is teaching or demonstration.
B. Responsibilities
The faculty member conducting or supervising the conduct of
animal experimentation is ultimately responsible for the humane care and use of
the animals involved. The faculty member
and the appropriate department chairperson will regularly determine if animal
use is adequately justified and humane care consistently provided.
Animal husbandry, disease control, appropriate use of
anesthesia, administration of medication for relief of pain and distress, and
euthanasia will be conducted as recommended by the university
veterinarian. Animal care programs
throughout the university will be supervised by the university veterinarian as
the representative of the administration.
The university Animal Care and Use Committee will monitor
care and use of vertebrate animals at ECU and in off‑campus ECU
programs. The committee will regularly
evaluate animal care practices, facilities, laboratories, research procedures,
and teaching practices where animals are involved. The National Institute of Health GUIDE FOR THE CARE AND USE OF LABORATORY
ANIMALS is accepted as the standard for optimum animal care and will be
used, with USDA regulations, by the committee in the evaluation. The committee, additionally, will review
proposals and protocols for all teaching and research projects intending to use
vertebrate animals. Proposals and
protocols will describe, in detail, methods to be used for animal care and
assurance of humane treatment during experimentation. Committee approval is essential prior to
initiation of the investigation or demonstration. The vice chancellor for health sciences and
dean of the
oversight for vertebrate animal care and use programs. The chairperson of the Animal Care and Use
Committee and the university veterinarian will report to the two vice
chancellors regarding their respective responsibilities.
In summary, it is the responsibility of the faculty
conducting animal studies, the veterinarian providing animal care supervision,
and the committee monitoring the program to assure humane treatment of
animals. Assurance is required by the public
and by the granting agencies that animals will be used responsibly and with
every consideration given for elimination of distress and discomfort. The university is committed to providing such
responsible use and considerate care for animal subjects of teaching and
research activities.
Approved: 21 October
1984
East Carolina
University
VI. Policy and Procedures on Ethics in
Research and Creative Activities (Formerly
Appendix U)
A. Policy
Faculty, staff, post doctoral
fellows and students of
1. Honesty and
truth must underlie all professional relationships of faculty, staff, post
doctoral fellows and students with those in their profession, the academic
community, and the public.
2. Fabrication and
falsification of information that a researcher claims is based on
experimentation or observation are unethical.
3. Intentionally
selecting data or the treatment of data to present views known by the
researcher to be false is unethical.
4. Plagiarism,
defined here as dissemination under one's own name of the tangible products of
another person's work without due credit to that person, is not acceptable.
5. Other practices
that seriously deviate from those that are commonly accepted within the
scientific or academic community for proposing, conducting, or reporting
research are not acceptable.
6. Publication
of essentially the same article in more than one journal of a study without
citing the duplication is unethical, as is any equivalent duplicity.
7.
Faculty and staff members must
be fully conversant with and able to defend their part in any work disseminated
with their permission under their names and should be generally conversant with
the said work as a whole. The guidelines of the International Committee of
Medical Journal Editors are, in part, that "authorship should be based only
on substantial contributions to (a) the conception and design, or analysis and
interpretation of data; (b) drafting the article or revising it critically for
important intellectual content; and on (c) final approval of the version to be
published. Conditions (a), (b) and (c)
must all be met. Participation solely in
the acquisition of funding or the collection of data does not justify
authorship. General supervision of the
research group is also not sufficient for authorship.
8. Faculty and staff members must list co‑authors
of a work, disseminated in any form, but only with those persons' expressed consent. The unwarranted inclusion
of co‑authors who have not been substantially involved in the work is unethical and may lead to violations of
item 7., above.
9. Students
completing theses or taking research courses for credit should not be relegated
to purely routine work without training or participating in the design of the
project or the analysis of the data. Therefore, the involvement of unpaid
student assistants in research must be structured to enhance students'
education and creative activities.
Graduate students must be authors on publications that contain
substantial parts of their thesis and/or dissertation. The chair and/or members of graduate student’s
thesis or dissertation committee should encourage the student to prepare a
manuscript(s) for publication based on his or her thesis or dissertation
research. If a student prepares a
manuscript for publication based on a thesis or dissertation, he or she should
be the first author on the resulting publication. Service on a thesis and/or dissertation
committee does not in itself entitle a faculty member to co-authorship of a
manuscript or an abstract unless the provisions of this section (Section V.A.7
above) are met.
10. When it is
appropriate for students to participate as subjects in research, faculty and
staff must assure potential subjects that participation is absolutely
voluntary, that participation as a research subject shall not be a course
requirement, that participation shall have educational value, that students
shall be told at the beginning of the course if there are to be opportunities
for extra credit, that alternative opportunities for extra credit shall be available
for students not wishing to participate as subjects in research, and that
students may withdraw from participation for extra credit at any time without
penalty. (See Part VII, Section I, Principles and Policy for the
Protection of Human Subjects of Research above.)
11. In all cases of
research involving human beings or animals, faculty and staff members must be
familiar with and adhere to special regulations and issues of ethics and humane
treatment associated with research on these subjects. (See Part VII, Section II, Animal Care and Use in Research and Instruction above.)
12. Faculty and
staff members must comply with all regulations and laws affecting research and
publication (including fiscal management, the use of hazardous materials and
patents, licensing, technology transfer), whether these be derived from the
grantor, the local community, the university, or the state or federal
government. Violation of copyright laws or the use of materials, developed by
others, for personal profit is unethical. All members of the university
community have a personal responsibility for implementing this policy in their
research and creative activities.
B. Procedures
for Reporting, Investigating, and Determining Penalties for Unethical
Activities
The university shall investigate substantive
allegations of fraudulent or unethical research and creative activities with
all practical dispatch, with fairness, and with consideration for the rights of
the accused and the accuser. The
university is obligated to notify all parties affected by such acts, where
proven, at appropriate times.
1. Definitions
a. Allegation - means any written or oral
statement or other indication of possible academic or scientific misconduct
made to an institutional official.
b. Claimant - person or organization alleging
that academic misconduct has occurred.An individual claimant is also commonly
referred to as a “whistleblower”, a term preferred by the federal
government.
c. Conflict of Interest - faculty selected for
service on a panel or a committee must be free from conflict of interest due to
associations with either a claimant, if an individual, or a respondent. Examples of such associations include, but
are not limited to, collaborations, co-authorships or manuscripts, and
co-investigation on any grants or contracts.
d. Deciding Officer - means the institutional
official who makes final determinations on allegations of academic misconduct
and any responsive institutional action.
This individual is the Chancellor.
e. Inquiry - assessment of supporting materials
and information from witnesses and respondent by a faculty panel to determine
whether an academic investigation is warranted.
This may be known as an "allegation assessment" or an
"informal inquiry" in some government documents.
f. Investigation - formal examination and
evaluation of all relevant facts to determine if misconduct has occurred, and,
if so, to determine the responsible person(s) and the seriousness of the
misconduct. The investigation is conducted
by a committee of faculty to include at least one member from outside the unit
and when deemed necessary by the Vice Chancellor for Research (VCR), from
outside the university. Hearings and
testimony are to be recorded.
g. Research Integrity Officer - means the
institutional official responsible for assessing allegations of academic misconduct
and determining when such allegations warrant inquiries and for overseeing
inquiries and investigations. This
individual is the VCR.
h. Research record - means any data, document,
computer file, computer diskette, or any other written or non-written account
or object that reasonably may be expected to provide evidence or information
regarding the proposed, conducted, or reported research that constitutes the
subject of an allegation of academic misconduct. A research record included, but is not
limited to, grant or contract applications, whether funded or unfunded; grant
or contract progress and other reports; laboratory notebooks; notes;
correspondence; videos; photographs; X-ray film; slides; biological materials;
computer files and printouts; manuscripts and publications; equipment use logs;
laboratory procurement records; animal facility records; human and animal
subject protocols; consent forms; medical charts; and patient research files.
i. Respondent - means the person against whom
an allegation of scientific misconduct is directed or the person who actions
are the subject of the inquiry or investigation. There can be more than one respondent in any inquiry
or investigation.
j. Retaliation - means any action that
adversely affects the employment or other institutional status of an individual
that is taken by an institution or an employee because the individual has, in
good faith, made an allegation of scientific misconduct or of inadequate institutional
response thereto or has cooperated in good faith with an investigation of such
allegation.
2. Procedures
a. Principle of Procedure--Every effort will be
made to protect the privacy and reputations of those whose allegations of
misconduct are made in good faith and of those against whom allegations of
misconduct are not confirmed.
b. Policies and Regulations-Federal and State
policies pertaining to the institution's responsibilities for responding to
allegations of academic misconduct are on file in the office of Sponsored
Research and are available for review.
c Initiation by an
Allegation-If a member of the faculty or other employee of ECU is suspected of
Academic Misconduct, as defined in Policy and Procedures on Ethics in Research
and Creative Activities, that person will be reported to the unit's senior
administrator unless there is a potential conflict of interest. (Policy and
procedures
regarding students are described in the ECU
Faculty Manual, Part IV, Academic
Integrity) Either documentation or
the location of documentation and information pertaining to the allegation will
be provided. If claimant brings the
allegation to the respondent's supervisor and if the supervisor is neither a chair
nor a dean, the supervisor will bring the information to the chair or dean for
that unit if considered to be substantive.
Thus, if discussions between a supervisor and a claimant suggest that
the allegation(s) is(are) serious, and neither frivolous nor malicious, the
allegations and supporting information will be presented in a timely manner to
the chair or dean, not the respondent.
d. Determination of
Procedure-The chair or dean must determine whether the allegations may be dealt
with informally or require proceeding with the formal steps for making an
Inquiry because the allegations are neither frivolous nor malicious and are
deemed substantive. The chair or dean
will determine whether and what form of misconduct is alleged to have occurred,
what parties are involved or may be affected by the allegations (i.e.,
co-authors, collaborators, funding agencies, etc.) and what documentation is
needed to pursue the allegation. The
chair or dean shall notify the VCR of their course of action (i.e., informal solution
or recommendation for an Inquiry) regarding all allegations. If the evidence suggests that an Inquiry is
warranted, the VCR will be notified immediately. Only the Vice Chancellor for Research has the
authority to convene an Inquiry panel or an Investigation Committee. If human or animal subjects are involved, the
chair or dean may ask the
e. If
the allegations meet any of the following conditions, the office of Research
Integrity of the Department of Health and Human Services or any other
appropriate federal agency, should be notified immediately:
1. there is an immediate health hazard involved;
2. there is an immediate need to protect Federal
funds or equipment;
3. it is probably that the alleged incident is
going to be reported publicly;
4. the allegation involves a public health
sensitive issue such as a clinical trial;
5. there is reasonable indication of a possible
Federal criminal violation.
f. If the allegation is not judged to be
frivolous, interim administrative actions will be taken, as appropriate, to
protect any Federal funds and the public health, and to ensure that the purpose
of any Federal financial assistance is carried out. Such actions may include but not be limited
to freezing grant or contract accounts,
suspending clinical trials or appointing
an interim project director.
g. Protecting
the whistleblower - The VCR will monitor the treatment of individuals who bring
allegations of misconduct or of inadequate institutional response thereto, and
those who cooperate in inquiries or investigations. The VCR will ensure that these persons will
not be retaliated against in the terms and conditions of their employment or other
status at the institution and will review instances of alleged retaliation for
appropriate action. Employees should
immediately report any alleged or apparent retaliation to the VCR. Also the institution will protect the privacy
of those who report misconduct in good faith to the maximum extent
possible. For example, if the
whistleblower requests anonymity, the institution will make an effort to honor
the request during the allegation assessment or inquiry within applicable
policies and regulations and state and local laws, if any. The whistleblower will be advised that if the
matter is referred to an Investigation Committee and the whistleblower’s
testimony is required, anonymity may no longer be guaranteed.
h. Protecting
the Respondent - Inquiries and investigations will be conducted in a manner
that will ensure fair treatment to the respondent(s) in the inquiry or
investigation and confidentiality to the extent possible without compromising
public health and safety or thoroughly carrying out the inquiry or
investigation. Institutional employees
accused of academic or scientific misconduct may, at their own expense,
consult with legal counsel or a non-lawyer personal adviser (who is not a
principal or witness in the case) to seek advice and may bring the counsel or
personal advisor to interviews or meetings on the case.
i. The
Inquiry-
(1) The VCR will present to the respondent, in
writing, the allegations and a copy to respondent's supervisor or chair. If it is necessary to secure notes, data books,
computer data, specimens, drafts of manuscripts, grants, contracts or other
materials, these will be collected at the time the letter of notice is given to
the respondent. Either the VCR or
his/her designee will be responsible for securing these items. All materials will be cataloged, receipts
provided to respondent, and secured in a locked storage container appropriate for
the materials. The Inquiry will be
completed within 60 calendar days from the date of delivery of the letter of
notice. If the inquiry cannot be
completed in 60 days and Federal funds are involved, then the VCR will submit
to the appropriate agency a written request for an extension that explains the
delay, reports on the progress to date, estimates the date of completion of the
report, and describes any other necessary steps to be taken.
(2) The Inquiry Panel shall consist of three
faculty without administrative appointment and conflict of interest. At least
one person shall be from outside the department of the respondent. If respondent is a member of the
(3)The written inquiry report will
be prepared by the panel which consists of the name and title of the panel
members; the allegations; the PHS support; a summary of the inquiry process
used; a list of the records reviewed, summaries of any interviews; a
description of the evidence in sufficient detail to demonstrate whether an
investigation is warranted; and the committee’s determination as to whether an
investigation is recommended.
(4) The
VCR will provide the respondent with a copy of the draft inquiry report for
comment and rebuttal and will provide the whistleblower, if he or she is
identifiable, with portions of the draft inquiry report that address the
claimant’s role and opinions in the investigation. Within 14 calendar days of their receipt of
the draft report, the claimant and respondent will provide their comments, if
any, to theinquiry committee. Any
comments that the claimant or respondent submits on the draft report will
become part of the final inquiry report and record. Based on the comments, the inquiry committee
may review the reports as appropriate.
If respondent is from the
(5) If
the Vice Chancellor for Research, in consultation with the Vice Chancellor for
Academic Affairs or Vice Chancellor for Health Sciences, decide that an
investigation should be conducted, the VCR will notify the appropriate federal
or non-federal agency and will provide them with a copy of the final inquiry
report and the institution’s policies and procedures for conducting
investigations.
(6) If
Federal funds are involved and the inquiry is terminated prior to completion of
all the steps required by the appropriate agency, the VCR will notify that
agency of the planned termination and the reasons therefore.
(7) A
detailed documentation of the inquiry, regardless of its outcome, will be kept
in the VCR’s office for at least five years following completion of the report
and will provide copies of this report to any authorized sponsoring agency upon
written request of that agency.
j. Additional
Procedures if Externally Funded Activities are Involved--The Vice Chancellor
for Research will be responsible for informing the funding agency that an
Inquiry involving one of their grants or contracts is being initiated. When the findings of the Inquiry Panel are
given to the VCR, the appropriate information will be relayed to the funding agency. Since different Federal and State agencies
have different regulations which change over time, it is imperative that the
VCR assure that the Inquiry and any subsequent investigation meet the funding
agency's requirements.
k. The
Investigation--A determination that substantive evidence exists supporting
allegations of academic misconduct necessitates a formal Academic Investigation
to begin within 30 calendar days of the Inquiry Panel's written report. All appropriate sponsors will be notified
immediately that an investigation will be performed. The investigation will be
completed and a report submitted to the appropriate sponsoring organization
within 120 calendar days of the committee's formation. If the investigation cannot be completed in
120 days and Federal funds are involved, then the VCR will submit to the
appropriate agency a written request for an extension that explains the delay,
reports on the progress to date, estimates the date of completion of the
report, and describes any other necessary steps taken to date. That the respondent voluntarily leaves or
admits guilt does not automatically terminate the process.
(1)The Investigation Committee shall consist of five faculty
without administrative appointment and conflict of interest, including not more
than 2 members from respondent's department and at least 1 member from outside
the unit (College or School) or the university, all of whom shall have the necessary expertise to evaluate the evidence
and issues related to the allegations, interview the principals and key
witnesses and conduct the investigation .
If the allegations pertain to a project funded by an external source,
one committee member must be from outside the university. If respondent is from the
human subjects or animal subjects are involved there is the
potential for criminal charges being filed and
a "chain of evidence" will be maintained: anyone wishing to remove materials from
storage must obtain the permission of
the VCR and must sign for each item removed.
(2) The Investigation Committee, with advice
from the VCR, will decide on the order of presentation of materials and
witnesses and schedule one or more hearings.
All documentary evidence presented to the committee by the VCR will be
made available to respondent at least 10 working days before the hearing. Legal advice shall be provided by the
university for the committee. The
hearings shall be closed to the public.
The respondent shall have the right to be present during presentation of
the evidence to the committee. The
respondent shall also have the right to an advisor, to present the testimony of
witnesses and other evidence, to confront and cross examine witnesses. The respondent's advisor does not have any
right to cross examine witnesses. The Chair of the committee has the discretion
at any time to allow respondent's advisor to have an active role in the
hearing, either by directly questioning witnesses or by submitting questions in
writing through the Chair, or to restrict the advisor to advising the
respondent, only. An audio recording of
all hearings will be made and minutes prepared to be included with the
committee's report: both the chair of the committee and respondent will sign
the minutes in order to indicate that the minutes accurately represent the
proceedings during the hearing. The
committee needs to determine whether clear and convincing evidence exists that
academic misconduct, as defined by the Policy on Ethics in Research and
Creative Activities, has occurred.
(Note: this is a more stringent
standard than "preponderance of the evidence," but less stringent
than "beyond any reasonable doubt.")
When the committee has made its determination, a written report will be
given to the VCR that describes both the process and the findings of the
investigation.
(3) Federal
funds are involved and the investigation is terminated prior to completion of
all steps required by the appropriate agency, the VCR will notify the agency of
the planned termination and the reasons therefore.
(4) Upon
initiation of an investigation, interim administrative action will be taken, as
appropriate, to protect any Federal funds and the public health, and to insure
that the purpose of any Federal financial assistance are carried out. Such
action may include but not be limited to freezing grant or contract accounts,
suspending clinical trials or appointing an interim project director.
l. Completion of the Investigation--When the
Investigation Committee has completed its investigation, it will prepare a
draft report; and this report, along with minutes of all hearings and tape
recordings of the hearings and recommendations will be given to the VCR. If respondent is from the
(1) The
report must describe the policies and procedures under which the investigation
was conducted, describe how and from whom information relevant to the
investigation was obtained, state the findings, and explain the basis for the
findings. The report should include the actual text or an accurate summary of
the views of any individual(s) interviewed.
(2) The
VCR will provide the claimant, if he or she is identifiable, with those
portions of the draft investigation report that address the claimant’s role and
opinions in the investigation. The
report should be modified, as appropriate, based on the claimant’s comments.
(3) The
draft report will also be given to the respondent for
comment and review. If the respondent elects to
provide a rebuttal, he or she
must do so within 10 calendar days. The
respondent may rebut orally or in writing, and these responses will become part
of the permanent record.
(4) The
draft investigation report will be transmitted to the
institutional counsel for a review of its legal sufficiency. Comments should be
incorporated into the report as appropriate.
(5) In
distributing the draft report, or portions thereof, to the
respondent and claimant, the VCR will
inform the recipient of the
confidentiality under which the draft report is made
available and may establish reasonable conditions to ensure such confidentiality. For example, the VCR may request the
recipient to sign a confidentiality statement or to come to his or her office
to review the report.
(6) If
the committee finds clear and convincing evidence of
academic misconduct in violation of the principles
set forth in this policy, the committee may include recommendations for
sanctions.
(7) If
the respondent provides a rebuttal to the evidence for the
VCR, the VCR may submit this information to the committee and may request
additional deliberations or recommendations from the committee. After deliberation, or if no timely response
is received, the committee shall issue its final written report to the
VCR. If the VCR disagrees with one or
more aspects of the report, the VCR may submit a separate report, but may not
modify the committee's report without explicit permission by the majority of
committee members. In addition to the
findings of the committee, the VCR's report will include recommendations with
respect to notification of any journals or other publications with already
published or pending publications which are deemed relevant, collaborating
institutions or individuals, awarding agencies, and any other individuals or
agencies judged to "need to know" in order to avoid further consequences
of potentially misleading or fraudulent information. These reports and any rebuttal provided by
respondent will be given to the Chancellor.
If respondent is from
the
(8) If
the committee finds insufficient evidence of fraudulent or
unethical behavior in violation of the principles set forth in this policy, the
chair of the committee shall notify the VCR who shall immediately notify all
individuals and groups involved that the charges have been dismissed; and every
attempt will be made to clear the public and private record of the respondent
including letters to be sent to all awarding agencies, journals or others who
had been informed that a formal inquiry process had been initiated.
(9) Investigative offices of Federal agencies
will be notified
promptly:
(a) if at any time during the
investigation there is
reasonable indication of possible criminal violations,
(b) if there are any developments which disclose
facts that may affect present or potential funding for the respondent, and
(c) of the final outcome of the investigation.
(10) The detailed documentation to substantiate
the findings of the
investigation will be maintained for at least five years after the final report
is delivered to the VCR or Federal agencies.
The report to
Federal or other external awarding agencies will include a description of the
process used to arrive at the findings within the report.
m. Prohibition of Expenditure of Funds-If there
are any developments during any time of the investigation which disclose facts
which suggest that specific funds from awarding agencies are not being expended
in an appropriate fashion, a
recommendation by the committee to the VCR may be forwarded to the appropriate vice
chancellor that the university prohibit further expenditures of these funds
pending final outcome of the Academic Investigation.
n. Action by the Appropriate Vice Chancellor-
(1) The appropriate vice chancellor, after
consultation with respondent's dean and VCR, shall determine what disposition
to make of the case. The determination
shall be transmitted to the respondent
promptly. If the vice chancellor
determines that the case has not been proven, the vice chancellor may either
ask the VCR to provide more information or dispose of the case as in Section
V.B.2.i.2. above with the VCR to notify all affected parties that the charges
have been dropped. If the vice
chancellor chooses this latter action, a written rationale for disposing of the
case must be provided by the vice chancellor for the VCR and members of the
Investigation Committee.
(2) If the appropriate vice chancellor
concurs with the reports by the Investigation Committee and the VCR that
misconduct has occurred and determines that a sanction will be imposed, the
vice chancellor will consult with the VCR and respondent’s dean regarding recommendations
for censure, suspension from employment, reduction in rank, removal of tenure,
or dismissal and will proceed in
accordance
with the ECU Faculty Manual. Whether or not sanctions are imposed on the
respondent, the vice chancellor may prescribe corrective action responsive to
the alleged misconduct and take
other
appropriate action including the recommended notifications of journals, funding
agencies and other affected parties by the VCR.
The VCR shall notify respondent's dean of sanctions or other actions
imposed.
(3) Respondent may appeal imposition of
sanctions through the appropriate appellate committee as described in the ECU Faculty Manual, Appendix D, Tenure and
Promotion Policies and Procedures of
Approved:
8 February 1994
Amended:
18 April 1995
Amended:
21 April 1998
VII. Policy on
the Custody, Retention, Transfer and Access to Research Data and Records
PURPOSE
The
preparation and retention, of accurate and appropriate records are essential
components of a credible research endeavor. East Carolina University, its
faculty, its staff, and its students have a common interest and a shared responsibility
to assure that research data and records are recorded appropriately, archived
for a reasonable length of time, and available for review by scholars and
others under appropriate circumstances. Original research records are also
essential to protect intellectual property rights, to answer ongoing questions
regarding the management of a research program, and to address questions that
may arise regarding the propriety of research conduct and methods. This policy
defines the nature of research data and its associated records. It also
describes the importance of good data and record keeping for obtaining and
defending intellectual property rights, and the procedures to be used for the
custody, retention, access, and transfer of research data and records.
This
policy shall apply to all faculty, staff, and students of East Carolina
University who are involved in the design, conduct, and/or reporting of
research at or under the auspices of East Carolina University, regardless of
source of funding.
DEFINITION
OF RESEARCH DATA AND RECORDS
Research
data and records refers to recorded information, regardless of its form or the
media on which it may be recorded, which is necessary for the reconstruction
and evaluation of the reported results of a research project. Research data and records include more than
just primary data (e.g., raw numbers generated by a measuring instrument;
audiotapes or transcripts of survey interviews). They also include
documentation or citation of a) the experimental methods for data collection,
and b) the methods used for data processing and interpretation. In practice,
they include, but are not limited to, the material contained in laboratory
notebooks or other media such as computer disks and machine printouts. The term
does not include the intellectual property generated by a research project;
administrative information, such as financial data; or the tangible products of
research, e.g., tissue banks, specialized tools or chemicals produced by the
project. (Ownership and disposition of intellectual property or the tangible
products of research are covered by other ECU policies.)
INTELLECTUAL PROPERTY ISSUES INVOLVING
RESEARCH DATA AND RECORDS
Retention
of maximum intellectual property rights places additional importance on the preparation
and retention of research data and records. Documented research records are
important in determining priority of research data, such as identifying who
first conceived an invention or in defending against patent infringement. In
order to protect the rights of investigators and the University to the
intellectual property generated by their research programs, university
technology transfer managers recommend specific record keeping and retention
practices such as the use of bound laboratory notebooks. Maintaining good data
records is recommended for all university laboratories, but is essential for
any patentable or licensable research activity. Responsible faculty should be
aware of and follow, as closely as possible, the record-keeping recommendations
described in Addendum B. Section II of the OPERATIONAL PROCEDURES FOR
IMPLEMENTATION OF FACULTY MANUAL PART VII, SECTION II http://www.research2.ecu.edu/ott/operating.html. The data management approaches above will
also help defend an investigator and his/her work if there is an allegation of
misconduct regarding this research
CUSTODY
OF RESEARCH DATA AND RECORDS
By
tradition, and for practical reasons, custody of original research data and
records shall be with the senior investigator of a project, usually a faculty
member. This senior investigator (the responsible investigator) shall insure
the integrity, preservation and security of the original research data and
records. Expenses of data and record preservation and security are allowable
costs to sponsored programs. As an aid to scholars and other appropriate
individuals who may wish to review the research data and records, they should
be appropriately organized and labeled to allow the identification of specific
information within the records by someone who was not involved with the
original project.
In situations where the Vice Chancellor for Research,
Economic Development and Community Engagement (the designated ECU Integrity
Officer) has received an allegation of research misconduct pursuant to ECU
policy (Faculty Manual Part VII Section VI) or when patent litigation is
imminent, the University may take immediate and preemptory custody of the
original research data and records relating to the allegation or the
patent. In this circumstance the
University shall provide needed copies of data and records to the investigator
that will allow active research projects to continue.
In
multi-institutional studies, contractual agreements often stipulate that the
home institution of the primary study director shall have custody of original
primary data from all participating institutions. In situations where ECU is
not the site of the home institution and will need to transfer the original data
to the institution of the study director, ECU shall retain a true copy of all
data and records generated for the multi-institutional study.
Senior
members of research teams have obligations to discuss the responsibilities of
data management and retention with other members of the research team and to
directly oversee the data and record management of the technicians,
post-doctoral fellow, students, and others working under their direct
supervision.
ACCESS
TO RESEARCH DATA AND RECORDS
The
University has the right of access to and to make copies of the data and
records for all research performed at the University or under University
auspices provided such access to the records shall be for reasonable cause, at
reasonable times and after reasonable notice (except in cases of misconduct
allegations, see below). For example, the University Medical Center
Institutional Review Board and the Brody School of Medicine Compliance Office
acting for the University may review records and study data of projects that use
human subjects to assure compliance with human subjects protection regulations.
In cases involving an allegation of research misconduct, the University through
the Vice Chancellor for Research, Economic Development, and Community
Engagement may request immediate, preemptory access and custody of original
research records. When such records
contain confidential information about human participants in research, the Vice
Chancellor shall institute appropriate procedures to assure that participant
confidentiality is maintained while the research records are in his custody.
Extramural
sponsors providing support for
RETENTION
OF RESEARCH DATA AND RECORDS
Research
data and records, including the primary experimental results, should be
retained for a sufficient period to allow evaluation and repetition by others
of published results emanating from those data. In general, three years from
the first publication date of the research results is specified as the minimum
period of retention for research published in peer-reviewed journals. For
sponsored research that is not published, the minimum retention period is three
years from the date of the issuance of the final report to the research
sponsor, unless the sponsor specifies a longer retention period. However, if an
investigation, legal action or an official inquiry concerning a research
project is underway, all data and records related to the project must be
retained and made accessible until all issues are resolved. In addition, the
records should be kept for as long as may be required to protect any patents or
other intellectual property resulting from this work. If a research project is
not funded with external or designated internal funds (e.g., an internal
university grant), the above retention policy shall apply to these research
data and records only when the project results in a publication; its data is
used to support a grant or contract application; or it involves the use of
animal or human subjects.
TRANSFER OF RESEARCH DATA AND RECORDS
THAT
Pursuant
to federal regulations (OMB Circular A-110, section 53) and the need of the
University to protect its patent rights, original research data and records
that support university patents or were funded by federal grants and contracts
must remain in the custody of the University for the required retention period
as discussed above. In the event the
responsible investigator transfers to another institution or leaves the
University for any reason, the responsible investigator shall transfer custody
of these original research data and records to the University. Exceptions to
this policy are discussed at the end of this section. The responsible
investigator, however, may make a copy of the data and research records at
University expense for his/her personal use at a new institution unless
prohibited by law, regulations or contractual agreements. Before his/her
departure, the responsible investigator shall transfer custody of the original
research data and records to his/her department chair or supervisor as required
by this policy. These records shall be retained in the University Archives of
Joyner Library pursuant to the retention paragraph above. These data and
records shall be organized in a format to permit reasonable identification of
specific experiments and data by individuals not involved with the original
research.
These
research data and records shall be used by the University only for patent
litigation, misconduct inquires and investigations, or for other purposes
required by federal regulations for
Exceptions:
1) Currently Active Federal Grants and
Contracts: If the responsible federal agency allows the transfer of an active
grant or con tract to the new institution of the principle investigator, and
the new institution accepts the administrative responsibility for the federal
award, the original research data and records may be transferred to the new
institution upon the request of that institution. The University, however,
shall retain a true copy, made at University expense, of all research records
produced while the research project was active and under ECU jurisdiction.
2) Faculty Request for Transfer of Original
Records: Per OMB Circular A-110 section 53c, a faculty member may request
authorization from the responsible federal agency to substitute true copies of
the research data and records in the University Archives in place of the
originals. If so authorized, the investigator may then transfer his/her
original data and records to the new institution.
3) Multi-Institutional Federal Grants and
Contracts: If such federal awards designate a specific institution as the
depository of original data and records for a multi-institutional project, the
University shall comply with this requirement.
However, the University shall retain a true copy of the original records
produced at University expense.
TRANSFER
OF OTHER RESEARCH DATA AND RECORDS
In the
event the responsible investigator transfers to another institution or leaves
the University for any reason, the responsible investigator shall provide a
true copy at University expense of his/her research data and records that have
been retained less than three years in the investigator’s possession per the
retention paragraph above. Before his/her departure, the responsible investigator
shall provide these true copies of the research data and records to his/her
department chair or supervisor. These data and records shall be organized in a
format to permit reasonable identification of specific experiments by
individuals not involved with the original research. These research data and
records shall be used by the University only for misconduct inquires and
investigations,
RESOLUTION OF DISPUTES Involving RESEARCH DATA AND RECORDS
The Vice
Chancellor for Research, Economic Development, and Community Engagement or his
designee shall arbitrate all disputes involving research data ownership,
retention, and access. Whenever possible, the Vice Chancellor or his designee
shall first attempt to mediate a resolution to the dispute acceptable to all
parties. When the dispute involves faculty from the
Approved:
University Chancellor,
February 19, 2003
Part VIII
RESPONSIBILITIES OF ADMINISTRATIVE
OFFICERS
CONTENTS
I. Board of Trustees
II. Chancellor
A. Executive
Assistant to the Chancellor
B. Assistant
to the Chancellor for Constituent Relations
C. University
Attorney
D. Equal
Employment
E. Director
of Athletics
F. Director
of Planning and Institutional Research
G.
III. Division of Academic Affairs
A. Vice
Chancellor for Academic Affairs
B. Unit
Administrators
C. Dean
of the Office of Undergraduate Studies
D. Director
of Academic Library Services
E. Director
of Admissions
F. Director
of
G. Director
of Cooperative Education
H. Director
of the Division of Continuing Education and Summer School
I. Director
of the Honors Program
J. Director
of International Programs
K. Registrar
L. Administrative
Council
M. Leadership
Forum
IV. Division of Administration and Finance
A. Vice
Chancellor for Administration and Finance
B. Comptroller
C. Director
of Computing and Information Systems
D. Director
of Environmental Health and Safety
E. Director
of Human Resources
F. Director/
Chief of Police
G. Director
of Systems Coordination
V. Division of Health Sciences
A. Vice
Chancellor for Health Sciences
B. Unit
Administrators
C. Director
of Health Sciences Library
VI. Division of Institutional Advancement
A. Vice
Chancellor for Institutional Advancement
B. Assistant
to the Vice Chancellor for University Relations and Alumni Affairs
C. Director
of Institutional Advancement
D. Director
of
E. Director
of the Center for Applied Technology
F. Director
of the Regional Development Institute
VII. Division of Student Life
A. Vice
Chancellor for Student Life
B. Assistant
Vice Chancellor and Director of Intercultural Student Affairs
C. Assistant
Vice Chancellor and Director of Research, Assessment, and Testing
D. Dean
of Students
E. Dean
of Student Development
F. Assistant
Dean of Student Development
G. Director
of Career Services
H. Director
of the Center for Counseling and Student Development
I. Director
of Dining Services
J. Director
of Disability Support Services
K. Director
of Health Promotion and Well -Being
L. Director
of Ledonia Wright African-American Cultural Center
M. Director
of Orientation and the First Year Experience
N. Director
of Recreational Services
O. Director
of Resident Life
P. Director
of Student Financial Aid
Q. Director
of the Student Health Services
R. Director
of University Housing Services
S. Director
of University Unions
VIII. Division of Research
A. Vice
Chancellor for Research
B. Dean
of the
C. Director
of the Center on Aging
D. Director
of the Institute for Coastal and Marine Resources
E. Director
of the Office of Sponsored Programs
F. Director
of the Office of Technology Transfer
I. Board of Trustees
II. Chancellor
The board of governors elects the chancellor, who is the
chief administrative and executive officer of
Assisting the chancellor in directing the affairs of the
university are the vice chancellors for academic affairs, for administration
and finance, for health sciences, for institutional advancement, for research,
and for student life; the director of athletics; the equal employment
opportunity officer; the university attorney; the director of planning and
institutional research; and the executive assistant to the chancellor. The responsibilities of these officers and
those reporting to them are described below.
A. Executive Assistant
to the Chancellor
The executive assistant to the chancellor provides
assistance in all facets of administration, governance, and communication. In assisting the chancellor in articulating
the goals and polices of the university, this officer serves as assistant
secretary to the East Carolina University Board of Trustees and supervises the
office of News and Communications Services and the office of University
Publications.
B. Assistant to the
Chancellor for Constituent Relations
The assistant to the chancellor for constituent relations
has as a primary responsibility the establishing of strong relationships with
constituencies external to the university, including the General Assembly,
state and local governments, community agencies, and regional groups with
interest in or impact on ECU. In
assisting the chancellor in this important endeavor, this officer will also act
as liaison and staff for the East Carolina University Board of Visitors.
C. University
Attorney
The office of the university attorney serves as liaison
between the university and the office of the Attorney General and the General
Administration of The University of North Carolina on legal matters including
coordination with the office of the Attorney General on legal advisory opinions
prepared by him or her. This office is
the central repository for university file copies of documents pertaining to
active, pending, or prospective lawsuits against the university. Upon request, the office of the university
attorney furnishes legal advice and prepares written legal opinions for the
chancellor, vice chancellors, academic deans, department chairpersons, and
other administrative officials. In
addition, the office prepares legal documents such as release forms, employment
contracts, and other legal instruments as required by officials of the
administration. The office supervises
and periodically reviews hearing and disciplinary procedures administered by
the various divisions and departments within the university. The office is responsible for maintaining a
legal reference library on
Faculty, administrators, and committees may contact the
D. Equal
Employment
The equal employment opportunity officer, in consultation
with the chief administrative officials of the university, takes appropriate
measures to ensure the university's compliance with federal and state legal
requirements respecting equal opportunity and affirmative action. See Appendix J, Informal Faculty Grievance
Procedures for grievances involving sex discrimination and other equal
employment opportunity complaints, and Part
VI, Equal Opportunity/Affirmative Action policy of
E. Director
of Athletics
Athletic goals of the university are established by the
chancellor in coordination with the director of athletics. The director is
administratively responsible to the chancellor for all facets of the
department’s operation. The University
Administrative Athletic Committee makes recommendations to
the chancellor concerning the
implementation and administration of polices and procedures pertaining to
intercollegiate athletics at
F. Director
of Planning and Institutional Research
The director of planning and institutional research serves
as staff to the chancellor and is responsible for facilitating and coordinating
the development, implementation and evaluation of the ongoing strategic plan
that covers all functions and major resources of the university. The director is also responsible for
directing the institutional research function, which includes the design,
development, and use of various data bases and management support systems
necessary for institutional analysis, planning, budgeting, and internal and
external reporting. All of the above
activities are carried out via cooperation and coordination with faculty
governance and the divisional vice chancellors.
G.
The
III. Division of Academic Affairs
A. Vice
Chancellor for Academic Affairs
The vice chancellor for academic affairs is responsible to
the chancellor of the university for policy and operations relating to all academic
aspects of the university, except those of the Division of Health
Sciences. The vice chancellor also
coordinates the activities of the academic and support units described below. The vice chancellor administers policies of
class attendance and academic discipline, approves departmental requisitions
for purchase of instructional supplies
and equipment, and assigns all classrooms and office space allocated for
instructional purposes. In addition, the
academic affairs officer is responsible for the editing and publication of the
university undergraduate and graduate catalogs, and similar official
bulletins. Those officers reporting to
the Vice Chancellor for Academic Affairs are listed in Part IX, Organization Chart for
B. Unit
Administrators
The dean of the
1. Budget
and Equipment
The unit administrator recommends the college, school, or
department operating budget and supervises expenditures of allocated
funds. The dean or chairperson is
responsible for maintaining a current inventory of and caring for departmental
equipment, for reporting to the business office breakage and needed repairs,
and for approving requisitions for book purchases for the library.
2. Curriculum
and Instruction
The unit administrator works with the faculty in planning
and recommending changes in and additions to the curriculum; visits classes and
counsels with the faculty to evaluate the quality of instruction; prepares
teaching schedules, is responsible for all classes being met, and arranges for
substitute instructors in case of emergencies; recommends the use of classroom,
laboratory, and office areas; keeps records of personnel and files of course
syllabi; and makes an annual report of the college, school, or department to
the appropriate superior.
3. Personnel
The unit administrator reviews recommendations of the
appropriate unit committees on faculty appointment, reappointments, tenure, and
promotion in relation to the provisions noted in Appendix C, Personnel Policies and Procedures for the Faculty of ECU
and Appendix D, Tenure and Promotion
Policies and Procedures of ECU.
The unit head concurs or does not concur and forwards the
recommendations to the next higher administrator.
C. Dean
of the Office of Undergraduate Studies
The dean of the office of Undergraduate Studies reports to
the vice chancellor for Academic Affairs and is responsible for the functioning
of the General College, the University College, the Office of Cooperative
Education, the transfer course permission approval program, the Academic
Transition Program, the general education assessment program, and other
academic support programs as designated by the vice chancellor for academic
affairs. The dean is responsible for the
administration of undergraduate academic regulations as presented in Section 5
of the undergraduate catalog.
Additionally, the dean serves as associate director, new student
academic orientation. The dean is
assisted in the administration of the office of Undergraduate Studies by the
assistant dean for the
D. Director
of Academic Library Services
The director of the Academic Services is responsible for
providing library services in support of academic programs. The director is advised by the
E. Director
of Admissions
The admissions office, administered by a director, aided by
a professional and a clerical staff, is charged with responsibility for all
undergraduate admissions throughout the university. In this capacity, the
director serves as an advocate for retention and monitors the effects of a
variety of university retention efforts.
Additionally, the director develops an admissions strategy which, when
coordinated with the results of retention efforts, will generate an
undergraduate enrollment consistent with the enrollment goal of the
university. The office processes
applications for admission to the freshman class and applications of students
desiring to transfer from other colleges and universities as well as
applications for readmission. The office
is also responsible for developing and implementing the marketing strategies
used to attract these student populations.
The director is assisted in the conduct of duties by the advice of the
F. Director
of the
The director of the
G. Director
of Cooperative Education
The director of cooperative education is responsible for the
coordination of activities related to the placement of both graduate and
undergraduate students in alternating periods of career-related employment. This
responsibility involves working with both public and private agencies
throughout the
H. Director
of the Division of Continuing Education and Summer School
The director of the Division of Continuing Education and
Summer School is responsible for off-campus classes and for specialized
non-credit vocational, professional, and cultural courses wherever
offered. The division provides this
instruction on the campuses of four community colleges and at various locations
throughout eastern
I. Director
of the Honors Program
The director of the honors program coordinates the
freshman/sophomore level, university-wide program offered to superior
students. The director is in charge of
planning the curriculum, soliciting the faculty, recruiting qualified students
to participate, and implementing the policies outlined by the
J. Director
of International Programs
The director of international programs is responsible for
administering university international programs and activities and for
promoting all aspects of internationalizing the university. In carrying out this responsibility, the
director works with the International Programs Faculty Advisory Council in
establishing a strategic plan and identifying the foci for international
activities most beneficial to the university, seeks to acquire external funding
for international activities, develops affiliations with international
universities and other agencies, develops and promotes university study-abroad
programs, and identifies highly qualified appointees to the Thomas W. Rivers
Endowed Chair in International Studies. Two coordinators report to the
director: the International Student Exchange Program (ISEP) coordinator, who is
responsible for publicizing, recruiting for, and administering ISEP; and the
study-abroad/National Student Exchange coordinator, who is responsible for
publicizing, recruiting for, and administering the NSE and ECU study abroad and
exchange programs.
K. Registrar
The registrar, aided by the associate registrar, supervisory
personnel, and a clerical staff, supervises the central records office, plans
and executes registration of students each semester and summer session, assigns
classroom space for classes and meetings, issues grades at the end of each
semester and summer session, issues transcripts, mails diplomas to graduating
students, and maintains a computerized student data base.
L. Administrative
Council
The Administrative Council, convened by the Chancellor,
includes the Chancellor, and designated members of the Chancellor’s staff, the
Vice Chancellors and designated members of their staffs, the deans, and
directors with academic or public affairs missions. The Council meets monthly, often hosted by
the respective deans, to discuss matters of importance to the administration of
M. Leadership Forum
The Leadership Forum, convened by the Chancellor, includes
the membership of the Administrative Council, other members of the University
administration deemed appropriate by the Chancellor, and representation of the
faculty by the Chair of the Faculty. The
Forum normally meets three times each semester and once during the summer
months to discuss matters of importance to the leadership of
IV. Division of Administration and Finance
A. Vice
Chancellor for Administration and Finance
The board of trustees of the university has directed that
all business functions for operation of the university be the responsibility of
the chief business officer, who has the title of vice chancellor for
administration and finance and who is responsible to and under the general
supervision of the chancellor. This
officer plans, directs, and coordinates all business affairs of the university
for organization and supervision of fiscal and budgetary operations, personnel
administration, public safety, computing and information, environmental health
and safety, and systems accounting.
The vice chancellor for administration and finance also
plans, directs, and supervises the preparation of all budgets for review and
adoption by the chancellor and board of trustees to be submitted to the Board
of Governors of The University of North Carolina and Department of
Administration and further reviewed by the Advisory Budget Commission for
recommendation to the state legislature.
Budget preparation includes such factors as present operating costs;
estimated receipts; operating expenses due to expansion of physical plant,
enrollment, and costs of utilities and service contracts; requests for new
programs, expanded services, salaries and additional faculty to reduce the
student-faculty ratio, and requests for capital improvements. Those officers reporting to the Vice
Chancellor for Administration and Finance are listed in Part IX, Organization Chart for
B. Comptroller
The comptroller plans, directs, and supervises all
accounting and budget functions related to the fiscal operation of the
university, including appropriated funds, grants, auxiliaries, student funds,
trust funds, and foundations. This
office maintains internal controls to ensure sound fiscal policy.
C. Director
of Computing and Information Systems
The director, reporting to the vice chancellor for
administration and finance, leads planning and development of information
systems and resources. This officer
receives guidance from the Information Resources Coordinating Council regarding
formulation, interpretation and implementation of university information and
data management policy. The director
manages various information resources, including the computing center staff,
the computing equipment, the broadband communications network, and the
telecommunications systems.
D. Director
of Environmental Health and Safety
The environmental health and safety director is responsible
for the overall planning and implementation of the safety and health programs
for the university in conformity with the Occupational Safety and Health Act
(OSHA) of
E. Director
of Human Resources
The human resources director plans, directs, coordinates,
and administers the university personnel program involving recruitment,
employee relations, counseling, interviewing, selection, transfer, promotion,
recommendation of salaries, classification of non-faculty personnel, and
training and staff development. The
director also interprets applicable policies and regulations to provide an
efficient and effective work force for operation of the university.
F. Director/Chief
of Police
The director/Chief of Police is responsible for the
university's police department. The
police functions include the safety and protection of students, staff, and
visitors as well as the buildings and other properties on the campus.
G. Director
of Systems Coordination
Systems accounting serves as a liaison between the automated
financial system users and the programmers of those systems. This department also completes specialized
projects on behalf of the vice chancellor for administration and finance.
V. Division of Health Sciences
A. Vice
Chancellor for Health Sciences
The vice chancellor for health sciences is responsible to
the chancellor of the university for policy and operations relating to all
academic and clinical aspects of the university, except those of the division
of academic affairs. The vice chancellor
also coordinates the activities of the academic and support units described
below. The vice chancellor administers
policies of class attendance and academic discipline, approves departmental
requisitions for purchase of instructional supplies and equipment, and assigns
all classrooms and office space allocated for instructional purposes. In
addition, the health sciences officer is responsible for the editing and
publication of the official bulletins and catalogs pertaining to the division
and/or components. Those officers
reporting to the Vice Chancellor for Health Sciences are listed in Part IX, Organization Chart for
B. Unit
Administrators
The deans of the professional
schools of Allied Health, Nursing and Medicine are unit administrators in all
incidences except for those pertaining to Appendix D. , in which case the
department chair is the unit administrator.
The dean is responsible for instruction, research and association with
the
C. Director
of Health Sciences Library
The director is responsible for the budget, policies,
programs, and long-range planning for the Health Sciences Library. Library
services are provided to students and faculty in the Schools of Allied Health
Sciences, Medicine, and Nursing and to physicians and other health providers in
the local community and throughout eastern
VI. Division of Institutional Advancement
A. Vice
Chancellor for Institutional Advancement
The primary function of the vice chancellor for
institutional advancement is to facilitate greater public understanding and
awareness of the purposes and achievements of the university and to generate
additional non-appropriated resources from individuals, corporations,
foundations, and governmental agencies to improve the quality and status of the
academic programs of
B. Assistant
to the Vice Chancellor for University Relations and Alumni Affairs
The assistant to the vice chancellor directs a comprehensive
alumni affairs program and holds the title of executive secretary of the ECU
Alumni Association, Inc. In addition to
assisting with the duties of the vice chancellor, the assistant represents the
formal link to the university for former students and seeks to develop a
relationship with them conducive to the support of the university's
programs. The assistant also plans and
implements programs to encourage involvement from alumni through volunteer
efforts and gifts of financial resources.
C. Director
of Institutional Advancement
The director of institutional advancement provides
managerial direction and coordination for the fund raising activities conducted
by academic and administrative units of the university. As part of this responsibility, the director
provides guidance and supervision to the directors of the Chancellor’s Society,
the annual giving, planned giving, parents,
gift
records, and research programs. Annual giving involves telephone, direct
mail, and personal solicitation of alumni and other friends of the
university. The Planned Giving Program
concentrates on development of deferred gifts and endowments. The Parents Program seeks to personalize the
university experience for those whose students are enrolled at the university
and to encourage their financial support of the institution.
D. Director
of
The director of the Small Business & Technology
Development Center is responsible for providing high quality, substantive
consultative services to small businesses, both start-up and operational;
providing management and technical assistance services, developing and
coordinating local resources; conducting research as necessary; developing and
conducting appropriate training; delivering special emphasis programs as
directed by the state headquarters; and providing advice and counsel to support
greater economic development and job creation within the assigned region.
E. Director
of the Center for Applied Technology
The director of the Center for Applied Technology is chief
administrative officer of the center, makes regional businesses and industries
aware of university resources, assists businesses and industries in defining
specific needs, designs, programs, and identifies faculty consultants to
address work place needs, supervises and evaluates consulting services,
establishes operational procedures, and plans the development of the center. The director has responsibility for the
center’s financial security and works with the advisory board of directors and
the faculty.
F. Director
of the Regional Development Institute
The director of the Regional Development Institute is
assisted by development specialists in the fields of marketing, industrial
development, community development, international services, resource
development, land-use planning, environmental regulations, research analysis,
and management and financial counseling.
The institute, using its own capabilities and resources, as well as
those of the university, engages in applied research related to the development
of eastern
VII. Division of Student Life
A. Vice
Chancellor for Student Life
The Division of Student Life actively supports the
university's mission of education, research and service by providing
comprehensive programs and services to assist each student to develop
intellectually, socially, and culturally.
The division promotes this development by fostering a community of
learning which encourages individual student involvement and participation. The Division of Student Life provides a broad
range of support services, activities, and programs which seek to enhance
learning; accommodate the diverse needs of all students; assist students in
meeting their basic needs for financing, housing, nutrition, and physical and
mental health; provide the means for students to become active participants and
leaders in their own learning; assist students in developing logical thought
processes and sound decision-making skills; and assist students in developing
an appreciation of the arts. Moreover,
the division seeks to contribute to the development of the whole individual by
fostering in each student a deeper appreciation of the importance of life-long
learning, individual responsibility, and human diversity. Those officers reporting to the Vice
Chancellor for Student Life are listed in Part
IX, Organization Chart for
B. Assistant
Vice Chancellor and Director of Intercultural Student Affairs
The assistant vice chancellor and director of the office of
Intercultural Student Affairs is responsible to the vice chancellor for student
life for designing programs and activities that meet the personal, social, and
academic needs of intercultural students.
The director is also responsible for assisting all students in their
understanding and appreciation of people and cultures different than their own.
C. Assistant
Vice Chancellor and Director of Research, Assessment, and Testing
The assistant vice chancellor and director of the office of Research, Assessment, and Testing reports
directly to the vice chancellor for student life and its responsible for
conducting appropriate University-wide assessments of students’ needs and
outcomes, coordinating the assessment of program effectiveness for the
division, and disseminating
research findings to internal and
external publics. The director
collaborates with the office of
Planning and Institutional Research and
other departments across the University to enhance the
educational experiences of the students.
The director is responsible for the supervision of the
D. Dean
of Students
The dean of students has direct responsibility for the
administration of program planning, budgeting, and evaluation of the campus
judicial system. The dean advises
student judicial boards; serves as adviser to the fraternity system;
administers university excuses, withdrawals, and campus canvassing and
soliciting policies; coordinates and supervises parents' day; supervises
professional staff responsible for university unions and student activities,
intramurals, recreation and leisure services, student leadership programs, and
the social sorority system. The dean of
students assumes responsibility for the Division of Student Life in the absence
of the vice chancellor for student life.
E. Dean
of Student Development
The dean of student development reports directly to the vice
chancellor for student life and is responsible for the direction of a
comprehensive student development program.
Reporting directly to the dean are the
Development for Special Populations (disabled students,
international students, minority students, nontraditional students, and
commuter students).
F. Assistant
Dean of Student Development
The assistant dean of student development is director of
special populations. He or she serves as
international student adviser; coordinator of off-campus housing, commuter
services, and nontraditional student services; and supervises the coordinator
of handicapped student services and the director of the Program for the Hearing
Impaired.
G. Director
of Career Services
The office of Career Services maintains credential files on
all who register with the service.
Registration is open to all
each semester. The
director oversees job search workshops including career information seminars,
interviewing skills development, and resume writing techniques, which are
regularly scheduled in the office and in various units across campus. The director works with career education
coordinators, who are appointed in each academic department to coordinate and
assist with career-related activities in their respective areas.
H. Director
of the Center for Counseling and Student Development
The director of the Center for Counseling and Student
Development administers programs and services offered by the student
I. Director
of Dining Services
The department of Dining Services offers a comprehensive
food service program for students, faculty, and staff, as well as an extensive
catering and summer conference program.
The director of Dining Services, who is the administrator of the dining
services contract, has overall responsibilities for services in all dining
areas; for maintenance of the computerized meal plan access control system; for
marketing and advertising, student surveys, public relations, and special
promotions; for fiscal control with monthly operating reports, budgets, and
audits; and for long-term planning including dining hall renovations, equipment
replacement, and facility expansion projects.
J. Director
of Disability Support Services
The
director of the department of Disability Support Services oversees the various
components which allow students with disabilities to access the programs and
services of the University. The coordination of interpreting services,
alternative testing, barrier removal, assistive technology, and student
counseling are aspects of the position which directly impact students. Outreach to faculty and the community
regarding students with disabilities is also critical. Both Spring and Fall graduation ceremonies
are coordinated by the Director.
K. Director
of Health Promotion and Well-Being
The
director of Health Promotion and Well-Being is primarily responsible for the
development and provision of knowledge and skill based programs in the health
and well-being areas. These areas
include, but are not limited to, programs and workshops addressing the use and
abuse of alcohol and other drugs, plus physical, nutritional, and emotional
well-being. The director coordinates
health promotion and well-being programs for departments within the division of
Student Life and the University and chairs of the DSL Coordinating Committee
for Campus Well-Being.
L. Director
of Ledonia Wright African-American Cultural Center
The
director of
M. Director
of Orientation and the First Year Experience
The director of student orientation directs, coordinates,
and supervises the development and implementation of the New Student
Orientation Program for the university.
With assistance of virtually all departments within the university
community, the director provides academic and student life information for all
new students. Also, the director is
responsible for the Parent Orientation Program, during which information from
academic affairs, student life, administration and finance, and institutional
planning is provided to parents of new students. As coordinator of The Freshman and the
University Program, the director is primarily responsible for developing,
teaching, and coordinating the orientation course, COAD 1000. The director also acts as academic adviser
for the
N. Director
of Recreational Services
The director of recreational services is responsible for
providing an extensive offering of recreational programs and services for the
university's students, faculty, and staff.
With assistance from SPA and EPA staff, the director plans, administers,
and supervises departmental programs, which include men's, women's, and
co-recreational intramural sports activities, drop-in informal recreation, club
sports, physical fitness programs, equipment check-out services, outdoor
recreation, new adventures program, non-credit instructional classes, sports
care services, and recreational services for handicapped students. The director is also responsible for
formulation and implementation of program policy, budget administration and
management, public relations, university liaison, and supervision and evaluation
of programs and staff.
O. Director
of Resident Life
The director of resident life is responsible for the
planning and coordination of the student life program within the residence hall
system. With the assistance of
professional and paraprofessional staff, this office is responsible for the
interpersonal and academic well-being of all residential students. This is accomplished through policies which
enhance
community development, through programs and activities to
meet the developmental needs of students, and through structured, comprehensive
disciplinary procedures. The director is
also responsible for budgeting and administration, liaison with other
departments and public relations, as well as the supervision, recruitment,
evaluation, and training of all staff.
In addition, the department provides student leadership development
through support of the Residence Hall Association and individual hall councils.
P. Director
of Student Financial Aid
The director of Student Financial Aid administers the
various programs which are available to provide financial assistance to
students. The director and staff are
responsible for the counseling of students about their budget expenses and
financial aid opportunities, for the evaluation of financial aid applications,
and for the allocation of resources to students who are to receive
assistance. The director is assisted in
the conduct of duties by the advice of the
Q. Director
of the Student Health Services
The director of the Student Health Service is charged with
the responsibility of overseeing the health care provided for the
R. Director
of University Housing Services
The director of university housing services is responsible
to the vice chancellor for student life for providing high quality housing for
on-campus students. High quality housing
mandates extensive planning for major renovations to meet the needs of changing
student development programs. Through
planning, supervision, and organization, the director is responsible for budget
administration and management; coordination of all maintenance, repairs, and
renovations of residence halls; contracting and assigning housing for students;
and student services which include safety and security, fire safety, and
auxiliary services of food handling, laundry facilities, mail delivery, and the
communications systems.
S. Director
of University Unions
The director of university unions, adviser to the Student
Union, and co-adviser to the Student Government Association. Under the supervision and direction of this
officer, the staff of the department of University Unions coordinates professional
entertainment and cultural events at the university, the university central
reservations office, the university ID card system, and public-sponsored events
presented on campus. The assistant vice chancellor is responsible for
negotiating and signing all contracts relative to campus activities.
VIII. Division of Research
A. Vice
Chancellor for Research
The vice chancellor for research has dual responsibility for
graduate programs and research. These
responsibilities are carried out through the activities of staff members in the
B. Dean
of the
At present, the vice chancellor for research also serves as
the dean of the Graduate school. The
Graduate school is responsible for admission of students and provides academic
oversight for all post-baccalaureate degree program tracks (excluding MD degrees)
by the implementation and execution of polices, rules, regulations, and
procedures established by the graduate faculty and the Graduate Council. The dean works closely with the members of
the graduate faculty through the Graduate Council and its committees as the
chief executive officer of the
C. Director
of the Center on Aging
The director of the Center on Aging administers the research
and service programs of the center and coordinates the university's gerontology
minor.
D. Director
of the Institute for Coastal and Marine Resources
The director of the Institute for Coastal and Marine
Resources administers the various research programs of the institute and
coordinates the university's coastal marine studies minor.
E. Director
of the Office of Sponsored Programs
The director of the office of Sponsored Programs is
responsible for all pre-award activity involved in preparation of grants,
contracts, and memorandums of understanding and for their submission on behalf
of the university to external agencies for faculty projects. The director is responsible for the
administration of this office in support of faculty activity in securing
external funding for programs supporting research and creative activities,
training, and service. It reports
sponsored program activity and ensures compliance with policies and guidelines
of the State of
F. Director of the
Office of Technology Transfer
The director of the Office of Technology Transfer is
responsible for the management of the transfer process of inventions and
discoveries from the university to the private and public sectors. Such responsibilities include receiving all
confidential disclosures, assessing patent potential, drafting licensing
agreements, and handling marketing initiatives for selected intellectual
properties.
PART IX
ORGANIZATION CHART
FOR
http://www.ecu.edu/cs-admin/ipre/Institutional-Research.cfm#orgcharts
PART X.
CHARTER OF THE FACULTY
ASSEMBLY OF THE
(formerly Appendix B)
CONTENTS
Charter of the Faculty Assembly of the
I. Objectives and Functions
II. Organization and Relationships
III. Operations
IV. Ratification and Amendment of the
Charter
Bylaws of the Faculty Assembly of
the
I. Definition of Charters
II. Members of the Assembly
III. Officers
IV. Agenda Committee
V. Meetings
VI. Voting
VII. Elections
VIII. Executive Committee
IX. Duties of Officers
X. Committees (other than Agenda and
Executive Committees)
XI. Operations
XII. Reports
XIII. Attendance
XIV. Amendments
Charter of the Faculty Assembly of
the
I. Objectives and Functions
1. The
Faculty Assembly of The University of North Carolina shall gather and exchange
information on behalf of the faculties of the constituent institutions of The
University of North Carolina.
2. The
assembly shall, through appropriate channels, advise the Board of Governors of
The University of North Carolina, the General Assembly, and other governmental
agencies and officers on matters of University-wide import.
3. The
assembly shall advise and communicate with the president of The University of
North Carolina with regard to the interests of the faculties and other manners
of University-wide import.
II. Organization and Relationships
1. Representation
in the assembly shall be apportioned among the constituent institutions of The
University of North Carolina with regard to the number of full-time faculty and
professional staff members in the service of each institution. Each institution
having not more than 300 full-time faculty and professional staff members shall
choose 2 delegates; each institution having from 301 to 600 full-time faculty
and professional staff members shall choose 3 delegates; each institution
having 601 to 900 full-time faculty and professional staff members shall choose
4 delegates; and each institution having more than 900 full-time faculty and
professional staff members shall choose 5 delegates. At any time that the number of full-time
faculty and professional staff members of an institution changes so as to
entitle it to a larger or smaller number of delegates under the foregoing
formula, the number of its delegates forthwith shall be changed
accordingly. Every delegate to the
assembly shall be a full-time faculty or professional staff member of the
institution he seeks to represent. The
manner of selection of delegates shall be determined by the faculties of the
respective institutions consistent with their institutional practices. Terms and rotation of delegates shall be
specified in the bylaws.
2. The
assembly shall have a chairman and other such officers, who shall be chosen in
such manner and for such terms, as the assembly may provide in its bylaws.
3. Each
institutional delegation to the assembly shall make available to the faculty of
its institution the official minutes of the proceedings of the assembly,
together with the written report of the delegation.
III. Operations
1. The
assembly shall adopt its own bylaws.
2. The
bylaws of the assembly shall provide for regular, stated meetings of the
assembly, which shall be held at various locations
3. Special
meetings of the assembly may be called by the president of The University of
North Carolina, by the officers of the assembly, or by members of the assembly,
in accordance with procedures to be established in the bylaws of the assembly.
4. Records
of the activities of the assembly shall be kept and transmitted to the
appropriate successor officers of the assembly.
5. Released
time shall be made available to the officers of the assembly, subject to the
approval of the president of the
6. The
assembly shall be provided by The University of North Carolina with necessary
secretarial assistance and other related services and resources.
7. The
members of the assembly shall be reimbursed by The University of North Carolina
for expenses incurred in attending meetings of the assembly.
IV. Ratification
and Amendment of the Charter
1. This
charter shall be transmitted to the constituent institutions of The University
of North Carolina for ratification or rejection by the faculty of each institution
in accordance with the processes of that institution. The charter shall become effective upon its
ratification by two-thirds of the constituent institutions of The University of
North Carolina. The institutions whose
faculties ratify the charter shall become participating institutions and shall
send delegations to the assembly.
2. An
amendment to the charter may be introduced in the assembly by any member of the
assembly; and, if approved by a majority of the authorized membership of the
assembly, it shall be transmitted to the participating institutions of the
assembly for ratification by the faculty of each institution in accordance with
the processes of that institution. An
amendment shall become effective upon its ratification by two-thirds of the
participating institutions of the assembly.
The foregoing proposed charter of the Faculty Assembly of The University
of North Carolina was adopted unanimously by The University Faculty Assembly,
representing all sixteen public institutions of higher education in
BYLAWS OF THE FACULTY ASSEMBLY OF
THE
I. Definition of Charter
The articles under which the Faculty Assembly came into
existence are the Charter of the Faculty Assembly. Bylaws enacted by the assembly are for the
purpose of giving effect to the purpose and functions described in the charter
II. Members of the Assembly
A. The
assembly shall be composed of representatives from each institution according
to the provisions as stated in section 11, paragraph 1 of the charter.
B. The
assembly shall make no determination of the method of election, those matters
being specifically reserved to the faculties of the several institutions .
C. The
terms of delegates and alternates of the assembly shall range from one to three
years as established by each institution, and each institution shall assure
continuity of delegation membership by a system of rotated terms. To be eligible as a delegate, a faculty
member may not have served as a delegate to the assembly for more than six of
the preceding nine years, nor could he be selected to a term that would result
in a violation of this limitation. Time
spent while serving as an alternate is not counted in that above imitation
D. Each
institutional faculty shall determine the number of alternate delegates it
believes necessary. The terms of
alternates shall correspond to the terms of delegates.
E. All
regular terms of service shall begin and end on July 1 of each year. The delegate list and authorized alternates
for the coming academic year shall be in the hands of the assembly chairman by
April 20.
III. Officers
A. The
officers of the assembly shall be a chairman, a vice chairman, and a secretary.
B. Each
officer shall serve for a term of one year but may be re-elected to two
additional succeeding terms in that office, after which he shall be ineligible
for re-election to that office for a period of one year.
IV. Agenda Committee
A. An
agenda committee consisting of the three elected officers, chairman, vice
chairman, and secretary, shall be established.
B. The
Agenda Committee shall be responsible for preparing the agenda for
meetings. Matters presented to the
Agenda Committee by any assembly delegate, assembly officers, or the president
of The University of North Carolina shall be placed on the agenda not later
than the time of the second regular meeting of the Faculty Assembly after
receipt of such a recommendation.
V. Meetings
A. Unless
otherwise ordered by the Agenda Committee, there shall be at least four stated
meetings of the assembly during the academic year at dates and places to be
established at the last regular meeting of the preceding academic year. All assembly members shall be informed of
these dates by that time. The regular
fall meeting shall not be scheduled for a date prior to September 1.
B. Special
meetings shall be called:
1. By
the president of The University of North Carolina at his discretion.
2. By the Agenda
committee on its initiative.
3. By
the chairman when a request is made to him by any institutional delegation.
C. The
site of the regular meetings of the assembly shall be determined by majority
vote of members present, subject to A., above.
Special meetings may be held at whatever location seems most advisable
to the chairman.
D. No
meeting of the assembly shall be a legal meeting at which there are present
fewer than a majority of the assembly members.
E. Advance
notice of all meetings shall be circulated to members so as to be received at
least two weeks prior to the meeting.
For special meetings in emergency situations, this provision may be
waived by action of the Executive Committee.
F. The
agenda for each meeting must be circulated so as to be received at least ten
days in advance of the meeting (except in case of emergency as referred to in
section V.E.). If an agenda item
requires action by the Faculty Assembly, the recommendation shall be submitted
to the secretary by any assembly member, and the secretary shall be responsible
for distribution of the recommendation with the agenda, or as soon thereafter
as possible. The above shall not
preclude any assembly member from performing this distribution without use of
the secretary. No item of business may
be acted upon by the assembly unless the recommendation has been distributed to
the assembly twenty-four hours before action is to be taken. Except that the twenty-four-hour rule may be
waived by EITHER (1 ) a two-thirds vote of the members present at the meeting
during which action is to be taken, OR (2) by virtue of the fact that the item
of business requiring assembly action received a majority vote of a quorum of a
standing or ad hoc assembly committee.
The agenda shall be open to all items submitted in time to meet the
requirements of this article.
Vl. Voting
A. There
shall be no voting by proxy. Only
members or their authorized alternates present at the meeting may vote.
B. When
voting, and upon the request of any voting member of the assembly, or his
authorized alternate, and with the approval of one-fifth of the voting members
present, a roll call vote will be held.
Vll. Elections
A. It
shall be incumbent upon each institution to designate and certify its assembly
members and alternates for the coming academic year on or before April 15.
B. Election
of officers for the year shall take place at the last spring meeting of the
assembly. Officers shall be elected by
secret ballot in the following manner:
1. The order of
election of officers shall be chairman, vice chairman, and secretary.
2. Election
shall be by a majority vote of those members present and voting.
C. The
term of office for officers shall coincide with that specified in II E., for
members of the assembly.
D. An
election to fill a vacancy in any office or on the Executive Committee can take
place at any regular or special meeting of the assembly.
VIII. Executive Committee
A. There
shall be an Executive Committee consisting of the three officers of the
assembly, one officer from the staff of The University (who shall be appointed
by the president of The University and who shall be a nonvoting member of the
committee), and the chairmen of the standing committees.
B. The
chairman of the Faculty Assembly shall be chairman of the Executive Committee.
C. The
Executive Committee shall review periodically the structure and functions of
the standing committees and make recommendations to the assembly for
appropriate changes.
D. The
Executive committee shall assume only such prerogatives and powers as shall be
delegated to it by a majority vote of the Faculty Assembly.
IX. Duties of Officers
A. The
chairman shall perform the duties usually associated with this office
including, but not limited to, presiding at meetings of the assembly, generally
supervising the activities of the assembly, appointing members of special
committees and, with the guidance of the Executive Committee, appointing
members, but not chairmen, of standing committees, and serving as chief liaison
officer between the assembly and the president of The University, the board of
governors, and other appropriate agencies.
If so desired by the president, the chairman shall serve on the
President's Administrative Council.
B. The
vice chairman shall perform the duties of the chairman in the event of the
chairman’s absence or disability. In the event that the office of chairman
falls vacant, the vice chairman shall assume that office, and a new vice
chairman shall be elected at the next regular meeting.
C. The
secretary shall be responsible for the preparation of the minutes of all
meetings and be custodian of the records of the assembly. He shall be responsible for giving notice of
meetings of the Executive Committee and the assembly, for circulating the
agenda, and for distributing copies of the minutes of the Faculty Assembly and
Executive Committee meeting to all delegates and other designated individuals.
X. Committees (other than Agenda and
Executive Committees)
A. Nominations
committee: At its second regular meeting
of the year, Fe Faculty Assembly shall elect, by nominations from the floor, a
Nominations Committee of five members, the chairman to be elected by the
committee. This committee shall
circulate a slate of two nominees for each office of the assembly and two nominees
for each of the chairmen of standing committees.
B. A
Governance Committee, whose responsibility shall be to review and make
recommendations on matters relating to the charter and bylaws of the assembly,
and to consider and make recommendations on matters including but not limited
to the statutes, the board of governors, and the General Administration of The
University of North Carolina. The
parliamentarian of the Faculty Assembly will be an ex-officio advisory member
of the committee who will not have voting rights in the committee and who
according to Section Xl B shall not necessarily be a member of the Faculty
Assembly.
C. A
Committee on Professional Development, whose responsibility shall be to review
and make recommendations on matters which enhance professional effectiveness of
faculty members in the areas of teaching, research, and public service; leaves
for professional development, reduced teaching loads for research, and
professional travel are relevant concerns.
D. A
committee on Faculty Welfare, whose responsibility shall be to review and make
recommendations on those factors which contribute to the professional
satisfaction of the faculty. Included
among these factors are salaries, fringe benefits, retirement programs, working
conditions, and manners related to communications within The University system.
E. A
Committee on Academic Freedom and Tenure, whose responsibility shall be to
review and make recommendations on manners related to academic freedom and
tenure, faculty role in personnel decisions, and the preservation of academic
freedom and tenure.
F. A
Committee on Budget, whose responsibility shall be to review and make
recommendations on manners relating to educational budgets for the state as
well as for The University of North Carolina.
Responsibilities shall include the making of recommendations on the
preparation of the budget and the priorities which lead to allocations to the
constituent institutions.
G. A
committee on Planning and Programs, whose responsibility shall be to review and
make recommendations on matters relating to educational planning for the state
as well as for The University of North Carolina, including the review and
evaluation of programs and the criteria for the initiation or termination of
educational programs. The committee
shall inform the assembly of the progress and nature of the five-year programs
as developed by the general administration and the board of governors.
H. Chairman
and members of each standing committee shall be members of the assembly.
Ad
hoc committees may be appointed by the chairman of the assembly as
appropriate. The chairman of each ad hoc
committee shall be a member of the assembly, but nonvoting members may be
co-opted from the student bodies or faculties of the several institutions. Co-opted members of an ad hoc committee may
not exceed, in number, assembly members of the committee.
Xl. Operations
A. The
chairman shall, within a month of assuming office, submit to the president of
The University of North Carolina a budget for the assembly for the year, which
shall include a specification of the office space, secretarial assistance,
supplies, and travel required for the business of the assembly and its
delegates.
B. The
rules contained in the latest revision of ROBERT'S
RULES OF ORDER shall govern the assembly in all cases to which they are
applicable when they are not inconsistent with bylaws or special rules of the
assembly. There shall be a
parliamentarian at all meetings and he shall be appointed by the chairman. (He
need not be a member of the assembly.)
Xll. Reports
A. The
basic record of the actions and deliberations of the assembly shall be the
minutes of meetings kept by, or under the supervision of, the secretary of the
assembly. Copies of the minutes shall be
circulated to all members of the assembly, the chancellors of the various
institutions, the president of The University, the chairman of the board of
governors, and such other individuals as the assembly, president, or chairman
may designate.
B. The
delegation from each institution shall submit to its faculty and to the
chairman of The University Faculty Assembly an annual report of the work of the
assembly.
1. This
report shall be prepared in time for submission to the faculty concerned at its
first regular fall meeting.
2. The
form of the report as well as the production of it shall be the sole
responsibility of the assembly members from that institution .
C. Special
reports may be prepared from time to time by the assembly and given such
distribution as seems appropriate.
D. The
records of the assembly shall be open to inspection by any regular full-time
member of the faculty of each institution and to such other persons may be
given permission by either the assembly, the president, or the chairman
Xlll. Attendance
A. Faculty
members from the participating campuses are eligible to attend sessions of the
assembly as observers. Faculty or
student members of special committees may, as a mater of course, be eligible to
attend and participate in those portions of meetings of the assembly at which
manners pertaining to those committees are discussed.
B. Alternate
members of the assembly, unless standing in for a voting member, may
participate in discussion of the assembly only when given privileges of the
floor by the chairman.
C. The
president of The University and his designated representatives, shall have a
standing invitation to attend and participate in the discussions at all
meetings. In the event of the absence of these individuals, the chairman of the
assembly shall communicate the proceedings of that meeting to the President.
D. Other
visitors may be admitted to meetings.
XIV. Amendments
A. The
bylaws may be amended by the vote of two-thirds of those voting members present
at any meeting of the assembly. Provided the substance of the proposed
amendment has been circulated in time to be received by all members at least
one month prior to the meeting at which action is proposed.
B. No
amendment to the bylaws may have the effect of amending, modifying, or altering
the charter. It shall be the duty of the
Executive committee to insure that such will not be the result. (For amendments to the charter, see charter,
IV 2. )
Approved: 28 April 1978
PART XI
THE CODE
THE BOARD OF GOVERNORS
THE
http://intranet.northcarolina.edu/docs/legal/policymanual/2008/100.1%5BThe_Code%5D.pdf
Faculty Manual
Part XII. PERSONNEL ACTION DOSSIER
Link to Guidelines for Preparing a
Cumulative Evaluation.
The
Personnel Action Dossier (PAD) is a collection of documents and lists of
accomplishments in summary form that provides a record of the accomplishments
of a faculty member seeking reappointment, promotion, or tenure. A PAD is compiled in a manner described in
Appendix D of the East Carolina
University Faculty Manual each time a personnel action for reappointment,
promotion, or tenure takes place. Each
PAD becomes part of the faculty member’s permanent personnel file and is not
returned to the faculty member.
In the
review process, attention is paid both to productivity since the date of hire,
tenure or last promotion (whichever is more recent) and accomplishments over
one’s entire career. Within the PAD the
candidate should supply dates for all listed activities and accomplishments,
making it possible for reviewers to identify clearly the chronology of
accomplishments related to the time of hire, tenure or last promotion
(whichever is more recent).
The
Personnel Action Dossier shall include the following items:
A.
A
properly executed ECU
Cumulative Report for Reappointment, Promotion and Tenure (see Attachment 1) is required for
these personnel actions. It is the
responsibility of the faculty member to have prima facie evidence of all
activity listed in this report available for inspection, if requested, by
reviewers at any level of the personnel action process.
Actions involving tenure and promotion also require a
properly executed ECU Personnel Action
Summary Form (see Attachment 2).
B.
Recommendations
(Note: The documents listed here will be
added by the appropriate official as the Personnel Action progresses.)
1. For reappointment:
a. Unit Tenure Committee’s
recommendation, signature of the chair of the unit Personnel Committee, and
date
b. Unit
administrator’s recommendation, signature, and date
c. Dean's recommendation, signature, and date
d. Provost/Vice Chancellor’s recommendation,
signature, date
2. For tenure:
a. One
cumulative evaluation in narrative
form of the candidate's teaching, research, service, and any other relevant
duties, prepared by the unit Tenure Committee. A draft of this cumulative
evaluation, to be
completed after the candidate turns in the PAD, should be available for
discussion by the entire Tenure committee before the vote. (
b. A
cumulative evaluation in narrative form of the candidate’s teaching, research,
service, and any other relevant duties, prepared by the unit administrator.
c.
Unit Tenure Committee's recommendation, signature of the
chair of the unit Personnel Committee, and date
d.
Unit
administrator’s recommendation, signature, and date
e.
Dean's
recommendation, signature, and date
f.
Provost/Vice
Chancellor’s recommendation, signature, date
3. For promotion:
a. One cumulative evaluation in narrative form
of the candidate's teaching, research, service, and any other relevant duties,
prepared by the unit Promotion Committee. A draft of this cumulative
evaluation, to be completed after the candidate turns in the PAD, should be
available for discussion by the entire Promotion committee before the
vote.
(
b. A cumulative evaluation in narrative form of
the candidate’s teaching, research, service, and any other relevant duties,
prepared by the unit administrator.
c. Unit Promotion Committee’s
recommendation, signature of the chair of the unit Promotion Committee, and
date
d. Unit
administrator’s recommendation, signature, and date
e. Dean's recommendation, signature, and date
f. Provost/Vice Chancellor’s recommendation,
signature, date
C.
Records
of Evaluation
1. For evaluation for
reappointment decisions:
a. Copies
of the criteria for reappointment set forth by the code unit of the faculty
member.
b. Copies
of all written communications with the candidate on progress toward tenure,
including all annual evaluations over the period of time appropriate to the
decision.
c. Records
of the discussions on annual evaluation meetings with the unit administrator
(see Appendix C. III.).
d. Records
of the assigned teaching duties and responsibilities including indication of
released time over the period of time appropriate to the decision (see Part V.
H).
e. Records
of the annual discussions on the criteria for evaluating faculty performance.
2. For
evaluation for tenure decisions:
a. Copies
of the criteria for tenure set forth by the code unit of the faculty member.
b. Copies
of all written communications with the candidate on progress toward tenure,
including all annual evaluations over the period of time appropriate to the
decision.
c. Records
of the discussions on annual evaluation meetings with the unit administrator
(see Appendix C. III.).
d. Records
of the assigned teaching duties and responsibilities including indication of
released time over the period of time appropriate to the decision (see Part V.
H).
e. Records
of the annual discussions on the criteria for evaluating faculty performance
(See Appendix D. II.A.3.).
f. Copies
of all communication with external reviewers, copies of the external reviews,
and a listing of the documents reviewed.
3. For
evaluation for promotion decisions:
a. Copies
of the criteria for promotion set forth by the code unit of the faculty member.
b. Copies
of all annual evaluations over the period of time appropriate to the decision.
c. A
record of the assigned teaching duties and responsibilities including
indication of reassigned time over the period of time appropriate to the
decision. (see Part V, H)
d. Copies
of all communication with external reviewers, copies of the external reviews,
and a listing of the documents reviewed.
In cases of application for tenure with simultaneous
promotion, items B and C should be combined as appropriate.
D. Supporting
materials
The faculty member, in consultation with the unit administrator and the chair
of the unit personnel committee, may add materials in support of the activities
and accomplishments listed in the ECU
Cumulative Report for Reappointment, Promotion and Tenure (subject to size
limitations in section G. below).
E. Other
material
Materials not included in the categories listed in the cumulative report may be
added to the dossier by the faculty member providing the unit administrator, in
consultation with the Unit Personnel Committee, has an opportunity to include a
response to such materials. In the event the unit administrator and Unit
Personnel Committee cannot agree on a response, both may include a response.
F. Disagreements
as to inclusion or removal of documents
The dossier shall include the required documents and lists relevant to the
faculty member's teaching, research/creative activity, and service as described
above. If the faculty member disagrees with the unit administrator and/or the
unit personnel committee as to the inclusion of relevant documents, the
documents will be included and each party may include a statement about the
document in the dossier.
The candidate is allowed to review and include a response to
the cumulative evaluations (see section B. above).
G. Size
of Dossier
The total dossier must be contained in a single three ring binder (10 in. x 12
in.) with a thickness of no more than four inches (approximately 10 cm).
Part XII.
PERSONNEL ACTION DOSSIER
Attachment 1.
Cumulative Report For Reappointment, Promotion, and
Tenure
Link to Guidelines for Preparing a
Cumulative Evaluation.
A. General
Information
1. Name
2. College or
3. Date of first appointment to ECU
4. Present rank and date at which present rank
was established
5. Educational background: degrees, dates
conferred, and institutions. Indicate
the status of any degree program in process.
Include the following where
applicable:
a. Postgraduate Training Fellowships
b. Residencies
c. Traineeships
6. Administrative appointments or special
assignments (list positions and dates in reverse chronological order with
percentage of time assigned)
7. Professional credentials (certifications and
licensures)
8. Professional
employment history (list positions, ranks and dates of
appointments
in reverse chronological order)
9. Formal continuing education for professional
development (courses,
seminars,
institutes, etc.and dates in reverse chronological order) School
of
Medicine (clinical staff): List all postgraduate Continuing Medical
Education
completed in the last 3 years (in reverse chronological order).
B. Teaching (Didactic and
Clinical) and Advising [narrative or bulleted list and relevant date(s)]
1. Noteworthy accomplishments and practices in
teaching
2. Noteworthy accomplishments and practices in
advising and retention
3. Extraordinary duties assigned or elected in
advising
4. Direction of student research and
performances:
a. List undergraduate students and projects.
b. List
graduate students and projects.
c. List memberships in graduate student’s
thesis/dissertation committees
5. Summary of teaching evaluations (student
opinion of instruction survey
results,
peer reviews, and any additional supporting information)
6. Grants (listed by year in reverse chronological order) in support
of teaching and advising. Provide a list
of all grants applied for, listing for each the source, amount requested,
title, and co-investigators. Designate
status: awarded (including amount awarded if different from request), pending,
rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list
agency(ies)
7. Medical
Education:
a. Undergraduate medical student teaching,
including didactic lectures,
clinical
teaching, conferences laboratories, student advising, and
student
preceptorships.
b. Postgraduate medical teaching including
clinical teaching and
continuing medical education.
c. Curriculum development in medical education.
C. Research/Creative
Activity:
1. A brief statement of research activities and
interests.
2. A complete list of publications in print, in reverse
chronological order,
beginning
with the most recent publications (Note:
should
use the AMA format for publications):
b. Journal articles
c. Chapters in books
d. Book reviews in professional journals
e. Abstracts (including those published in
proceedings)
f. Microforms
g. Sound/video recordings musical scores
h. Art exhibitions, pictures in books, applied
art
i. Articles in proceedings
j. Patents
k. Editorships of professional journals or books
l. Musical performances & productions
m. Theatrical performances & productions
n. Software development
o. Electronic publications
p.
Clinical trials
q. Other (e.g., entries in encyclopedias)
3. Papers, creative works, etc. accepted for
publication but not yet in print
(attach
a copy of letter of acceptance)
4. Other research publications: list title(s)
and publication dates and
publisher
5. Research presentations and posters: list
organization, date, and title of
presentation(s)
6. Participation in expert panels (include
topics, meeting, date(s).
7. Visiting professorships or lectureships
(include titles, place, date(s).
8. Pedagogical materials: list title(s) and
publication dates and publisher
9. Grants (listed by year in reverse
chronological order) in support of
research/creative
activity. Provide a list of all grants
applied for, listing
for
each the source, amount requested, title, Principal investigator and co-
investigators. Designate status: awarded (including amount awarded if
different
from request), pending, rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list agency
(ies)
D. Clinical Practice:
For those faculty who provide patient care as a part of their duties, a patient
care portfolio should be included to document their clinical practice
activities. The patient care portfolio
should include the following information:
1. Summary of relevant activities in clinical
practice and evaluations of
patient care quality.
2. Noteworthy accomplishments and practices
3. Extraordinary duties assigned or elected in
clinical practice
4. Development and/or evaluation of clinical
services and programs
5. Community service and outreach
E. Professional
and University Service (list by year, in reverse chronological order)
1. University: Committee and special assignments
a. Unit: name of committee(s), role on
committee(s) (member, chair, etc.),
inclusive
dates of service
b.
Division:
name of committee(s), role on committee(s) (member, chair, etc.), inclusive
dates of service
c.
University-wide:
name of committee(s), role on committee(s), inclusive dates of service
d. UNC system: name of committee(s), role on
committee(s), inclusive
dates of service
e. Special assignments: title or role, brief
description of assignment,
inclusive
dates of service
2. Non-university committees and service:
a.
Local
b.
Regional
c.
State
d.
Other
e.
Clinical Agency Committees and/or Hospital committees (Health
Sciences
Division)
3. Professional Organizations (list by year in
reverse chronological order)
a. Memberships in professional organizations:
list memberships
President/Chair:
list organization(s)
Other
office(s): list office and organization(s)
c. Organization of meetings, workshops, and
symposia: list
organization(s)
d. Presentations (other than research) at
meetings, workshops, and
symposia:
list organization, date, and title of presentation(s)
e. Service as editor or editorial board member:
list board(s), list role(s)
f. Items reviewed, refereed, or juried for
scholarly publications: list
publication(s)
g. Items reviewed, refereed, or juried for
granting agencies: list agency
(ies)
h. Evaluation of faculty for other universities
(peer review): list
institution(s)
i. Consultantships: list client, specify whether
paid or unpaid, briefly define
activity
4. Other professional service
5. Grants (listed by year in reverse chronological
order) in support of
professional
service. Provide a list of all grants
applied for, listing for each
the
source, amount requested, title, and co-investigators. Designate
status: awarded
(including amount awarded if different
from request),
pending, rejected.
a. Grants/proposals through Office of Sponsored
Programs
b. Grants/proposals through the Division of
Institutional Advancement
c. University Grants
d. Reports to granting agencies: list
agency(ies)
F. Honors
and other noteworthy activity not covered above
G. Administrative
Activities
1. Noteworthy accomplishments and practices in
administration
2. Extraordinary duties assigned or elected
3. Summary of administrative evaluations
H. Community service: Include organization, dates, offices held.
I. Other: Include additional information deemed
pertinent to this cumulative
report.
J. Date
this cumulative report was completed.
Part XII. PERSONNEL ACTION DOSSIER
Attachment 2.
(Administrator completes Section I.
Section I.
To be completed by the appropriate administrator(s).
Name of Appointee:________________________________________________________________
Department:___________________________ School/College:___________________________
Current Rank or Title: (if applicable) ____________________ Proposed Rank or Title:___________
Indicate Type of Action: (select
all that apply)
Conferral of Tenure:
Other:
(describe) __________________________________________________________
Effective Date of Action:
Contract Period: Administrative Appointment: 9 mo. 12
mo.
Faculty
Appointment: 9 mo. 12
mo.
Salary: $______________ Source(s):____________ State
Funds: $ ________ *Non-State
Funds: $_____________________
*Indicate Sources of
non-state funds generically ( i.e., grants, receipts, trust funds, endowments,
medical faculty practice plan, etc.):
Prior Recommendations/Personnel Actions:
(please check appropriate responses)
|
Source |
Recommended
|
Not
Recommended
|
Not
Applicable
|
|
|
|
|
|
|
Chair/Unit Head
|
|
|
|
|
Director
|
|
|
|
|
Dean
|
|
|
|
|
Provost/Vice Chancellor
|
|
|
|
|
Chancellor
|
|
|
|
|
Board of Trustees
|
|
|
|
|
Section II.
To be completed by the faculty member.
1.
Education Background: (indicate degree, date earned and institution,
note additional study & training)
2. Teaching and other professional
experience: (Show inclusive dates, rank and/or title, institution or agency,
and indicate first appointment at current institution with rank and any changes
to date)
3. Scholarly & Creative Activities:
Type
|
Number
|
Book
|
|
Edited Book
|
|
Chapter
|
|
Refereed Journal Article
|
|
Other Journal Article
|
|
Juried Performance/Show
|
|
Non-Juried Performance/Show
|
|
Other:___________________
|
|
Other:___________________
|
|
Other:___________________
|
|
4. Membership in professional
organizations:
5. Professional service on campus:
6. Professional service off campus:
Approved:
March
1, 2007
Amendments:
Part XIII. PROMOTION AND TENURE TIMELINE
Promotion and Tenure Timeline – Spring before Decision
Year*
|
Action |
Due Date 9 and 12 Month Faculty |
Time Allotted for Decision |
|
Request to the Committee for
promotion or early conferral of permanent tenure (this step not necessary for
normal tenure timeline) |
1st Friday in March |
|
|
Faculty member submits list of
potential external reviews to committee |
1st Friday in March |
|
|
Committee submission of a list of
external reviewers to the unit administrator (Materials should be sent to
reviewers in a timely manner with sufficient time for completion.) |
Last Friday in March |
|
|
Unit Administrator sends formal
request to external reviewers |
3rd Tuesday in April |
3 weeks |
Promotion and Tenure Timeline –
Fall of Decision Year*
|
Action |
Due Date 9 and 12 Month Faculty |
Time Allotted for Decision |
Health Sciences Division |
Time Allotted for Decision |
|
Unit Administrator informs
committee of upcoming need for a meeting |
1st Tuesday in September |
|
1st Tuesday in September |
|
|
External reviewer’s reports due |
1st Tuesday in September |
|
1st Tuesday in September |
|
|
Faculty turns in PAD to Committee |
2nd Tuesday in September |
|
2nd Tuesday in September |
|
|
Committee decision/PAD to unit
administrator |
2nd Tuesday in October |
4 weeks |
2nd Tuesday in October |
4 weeks |
|
Unit administrator decision /PAD to Dean (if applicable)
Brody School of Medicine P&T Committee reviews & makes Recommendation
to BSOM Dean |
1st Tuesday in November |
3 weeks |
1st Tuesday in November |
4 weeks |
|
Dean decision/PAD to VCAA (or VCHS) |
2nd Tuesday in December |
5 weeks |
2nd Tuesday in December |
5 weeks |
|
VC decision/PAD (?) to Chancellor |
2nd Tuesday in January |
4 weeks |
2nd Tuesday in January |
4 weeks |
|
Chancellor decision |
1st Tuesday in February |
4 weeks |
1st Tuesday in February |
4 weeks |
|
BOT decision (Tenure Only) |
Spring BOT meeting |
Date varies from year to year |
Spring BOT meeting |
Date varies from year to year |
Reappointment of Probationary-Term
Faculty Members Timeline*
|
Action |
Due Date for 9 Month Faculty |
Time Allotted for Decision |
Due Date 12 Month Faculty |
|
PADs due to tenure committee for
reappointment decision |
1st Tuesday in February |
|
1st Tuesday in April |
|
Committee decision on
reappointment to unit administrator |
1st Tuesday in March |
4 weeks |
1st Tuesday in May |
|
Unit administrator decision to
Dean (if applicable) |
4th Tuesday in March |
3 weeks |
4th Tuesday in May |
|
Dean decision to VCAA (or VCHS) |
3rd Tuesday in April |
3 weeks |
3rd Tuesday in June |
|
VCAS (or VCHS) decision |
2nd Tuesday in May |
4 weeks |
2nd Tuesday in July |
Reappointment of Probationary-Term
Faculty Members in 2nd Year
of Employment With Credit for Prior
Academic Service Timeline*
|
Action |
Due Date for 9 Month Faculty |
Time Allotted for Decision |
Due Date 12 Month Faculty |
|
PADs due to tenure committee for
reappointment decision |
1st Tuesday in September |
|
1st Tuesday |
|
Committee decision on
reappointment to unit administrator |
1st Tuesday in October |
4 weeks |
1st Tuesday |
|
Unit administrator decision to
Dean (if applicable) |
3rd Tuesday in October |
2 weeks |
3rd Tuesday |
|
Dean decision to VCAA (or VCHS) |
1st Tuesday in November |
2 weeks |
2nd Tuesday |
|
VCAS (or VCHS) decision |
3rd Tuesday in November |
2 weeks |
3rd Tuesday in June |
Subsequent Appointment of
Fixed-Term Faculty
Members Timeline – Spring
of Decision Year*
|
Action |
Due Date for 9 Month Faculty |
Time Allotted for Decision |
Due Date 12 Month Faculty |
|
Fixed-term faculty members request
reappointment |
No earlier than 180 calendar days before term expires and no later
than 90 calendar days before term expires |
|
No earlier than 180 calendar days before term expires and no later
than 90 calendar days before term expires |
|
Committee and unit administrator
notify fixed-term faculty member in writing of subsequent appointment
decision |
within 30 days of the request |
30 days |
within 30 days of the request |
*Faculty candidate will be notified in writing within one
week at each decision point.
Approved:
Revised:
Editorially revised
5-3-07
APPENDIX A
FACULTY CONSTITUTION
AND BY-LAWS
OF
CONTENTS
Faculty
Constitution
I. Purpose
II. Organization of the
General Faculty
III. Functions of the General
Faculty
IV. Meetings of the General
Faculty
V. Academic Units
VI. Organization of the
VII. Method of Election of the
VIII. Officers of the Faculty and
IX. Duties of the Officers of
the
X. Meetings of the
XI. Functions of the
XII. Agenda of the
XIII. Order of Business for the
XIV. Limitations upon Functions of
the
XV. Amendments to the Faculty
Constitution
XVI. Adoption and Changing of
By-laws of the Faculty Constitution
By-laws of
the Faculty Constitution of
I. Attendance, Seating, and
Participation
II. Minutes of the
III. Special Committees
IV.
Membership, and
Structure
V. Administrative Board of the
VI. Faculty Assembly Delegates
and Alternates
FACULTY
CONSTITUTION OF
I. Purpose
The purpose of the faculty organization shall be to provide
the means by which the faculty is enabled to fulfill its function with respect
to academic and educational policies and other affairs of
The
ii. Organization of the General Faculty
The general
faculty shall consist of all full-time members of the teaching, research, or
administrative staff who hold an academic title, including those on special
faculty appointment.
The general
faculty shall have as its presiding officer the Chair of the Faculty, who shall
be responsible for calling its meetings and for keeping a record of its
proceedings. The presence of a majority
of the members shall constitute a quorum, except in special cases provided for
in this constitution. Each member of the
general faculty shall have one vote. A
vote by voice will be the regular method of voting on any motion that does not
require more than a majority vote for its adoption. Upon the request of ten percent of those
present, a secret ballot will be in order.
III. Functions of the General Faculty
The general
faculty shall be empowered to perform the following functions: consider reports
from and make recommendations to the Chancellor, the appropriate vice
chancellor, and the
IV. Meetings of the General Faculty
The general
faculty shall meet at the pleasure of the Chancellor or the
V. Academic Units
The academic
units shall be organized into autonomous code units according to guidelines
approved by the
VI. Organization of the
Electoral
units for the
The number
of elected faculty senators shall not exceed 58 nor be fewer than 52. Prior to the election in February of each academic year, the
ratio of faculty members to elected faculty senators will be determined by the
Chair of the Faculty, Vice Chair
of the Faculty, and the
Secretary of the Faculty. The number of faculty within each
department/school/college will
be gathered from part of a personnel data file that is prepared and submitted
to the UNC General Administration by the Office of Institutional Planning, Research, and Effectiveness in January of each year.
Faculty
members included in the University's annual personnel data report who satisfy
all of the following criteria shall be counted in determining the number of
each electoral unit's faculty senators: (1) currently employed (as of the date
of the report), (2) permanent employee
(including those on leave with or without pay), (3) EPA employee, (4) full time
employee, (5) included in the occupational activity categories of 10
(executive, administrative and managerial) or 20 (instructional faculty), (6)
holding a professorial rank or title (modified or unmodified) of instructor,
assistant professor, associate professor, or professor. Faculty members meeting these criteria will
be counted as belonging to their department/school/college of rank (not home
department) where these two differ. When
a faculty member's department of rank is part of a professional school or
college, and the school or college is the recognized electoral unit, the faculty
member will, for purposes of
Each
electoral unit represented will then be informed as to the number of elected
faculty senators to which that electoral unit is entitled. No electoral unit will be allocated more than
15 percent of the elected
Each department
of the
The count
of faculty members for the purpose of apportionment shall include those members
who are absent from the campus because of illness or leave of absence, unless
replaced by a full-time instructor or above under annual contract.
The
ex-officio members of the
VII. Method
of Election of the
The
Secretary of the Faculty shall request that each electoral unit proceed to
elect its representatives. Elections
shall be held in February of each year with members-elect to take office on the
day following the last regular meeting of the
To obtain
nominations, each department/school/college shall develop a ballot that
lists every eligible member of that department/school/college. Each member of the faculty
shall vote by secret ballot for twice as many nominees as that faculty member's
department/school/college is entitled to elect. That group of nominees equal to twice the
number of representatives to be elected that receive the largest number of
votes shall then be placed on a separate ballot for the election of
representatives. An alternate method of
nominating Senators by the schools is found in Section VI.
To elect
representatives each faculty member shall then vote by secret ballot for the
number of representatives allotted that electoral unit. Votes shall be counted
in accordance with procedures agreed upon by the electoral unit.
The
administrative officer of each electoral unit shall report the results of the
election to the Secretary of the Faculty.
Each senator shall serve a two-year term. Senators may be elected to succeed themselves
twice. After a lapse of one year
following the expiration of this third term, they will again be eligible for
election. The seat of an elected senator
who fails to attend more than three consecutively held meetings of the
Each
electoral unit concerned shall hold special elections to fill unexpired or
vacated terms. The Senate may establish
and promulgate procedures for selecting alternates for elected and ex-officio
members. The administrative office of
each electoral unit so affected shall certify to the Secretary of the Faculty
the credentials of individuals thus elected.
VIII. Officers of the Faculty and
The
officers of the faculty and
At the
second regular meeting of the spring semester the elected members of the
Further
nominations, from the ranks of the elected membership and by the elected
members, will be accepted from the floor.
Officers will be elected by a majority of those present and voting. They shall assume their duties on July 1 following election. If the office of the Chair of the Faculty
shall become vacant, the position shall be assumed by the Vice Chair of the
Faculty. If other offices shall become
vacant, they shall be filled by a special election conducted by the
IX. Duties of the Officers of the
The Chair
of the Faculty shall preside at all meetings. He or she is empowered to call
special meetings as hereinafter provided.
The Chair is an ex-officio member of all academic committees and various
administrative committees. The Chair may
delegate to the Vice Chair or an appointed representative his or her seat on
any of the academic or various administrative committees. He or she shall appoint persons to fill
unexpired terms of committees.
Before the first regular meeting of
the
The Chair
of the Faculty supervises the
The Vice
Chair of the Faculty shall perform all of the duties of the Chair in the
absence or incapacity of the Chair. The
Vice Chair of the Faculty shall serve, at the request of the Chair of the
Faculty, as the Chair's representative on faculty committees. The Vice Chair of the Faculty shall succeed
to the office of Chair of the Faculty in the event that office should become
vacant during the term of the incumbent.
The
Secretary of the Faculty, with
assistance of the office personnel, shall keep accurate minutes of all
regular and special meetings, ensure distribution of copies of the minutes to
all members of the general faculty, keep an accurate list of membership of the
X. Meetings of the
Four
regular meetings of the
The
organizational meeting of the
Upon
written petition of fifteen members of the
Meetings of
the
The general
faculty shall be informed of the time, place, and agenda of all regular and
special meetings.
XI. Functions of the
The
The
The
legislative powers of the general faculty are delegated to the
The
XII. Agenda of the
The
Matters to
be brought before the
The Agenda
Committee, with assistance of the
office personnel, collects all recommendations and reports from academic committees, including all standing and
ad hoc committees of the
The
membership of the Agenda Committee shall consist of five elected Senators,
elected to the Committee by the
The Agenda
Committee reports to the
XIII. Order
of Business for the
The
following order of business shall be observed in meetings of the
Each
elected member of the
A quorum
shall consist of three-fifths of the elected faculty members of the
XIV. Limitations Upon Functions of the
The general
faculty shall be empowered to amend or rescind any act of the
Acts or
decisions of the
XV. Amendments to the Faculty
Constitution
All
proposed amendments to the Faculty Constitution shall be presented first at a
regular meeting of the
As the
creating body, the general faculty shall be empowered to amend or abolish these
articles establishing the
XVI. Adoption and Changing of By-Laws of the Faculty Constitution
The
Approved:
September 21, 2005
Amended:
Interpretation made to
Section VIII. (3-30-93)
BY-LAWS OF THE FACULTY CONSTITUTION
OF
I. Attendance, Seating, and
Participation
A. To facilitate the
efficient flow of business, Senators shall be seated as follows:
1. Ex-officio
members shall be assigned seats on one row.
2. Elected
members shall be assigned seats in alphabetical order by electoral units
B.
Only elected and ex-officio members (including alternates, representing
their electoral units) may
answer the roll call, vote, or occupy seats assigned to senators.
C. Faculty
members visiting the Senate shall seat themselves in the back of the meeting room, behind the seats assigned to
Senate members.
D. Visitors
may not participate in Senate discussions and business except by advance
invitation of the Senate Agenda Committee or the Chair of the Faculty. Such
an invitation will be announced to the Senators prior to the meeting.
E. Each
electoral unit of the University may elect a number of alternate
representatives equal to its allotment of senators, not to exceed the electoral unit’s number of apportioned
senators. If more than one alternate is
elected, they should be elected to two-year terms. The alternate(s) will be elected in the same
manner as faculty senators at the time of regular election of senators, and
will serve for a two-year term.
Alternates shall be eligible for re-election. The alternate will represent that electoral unit at the discretion of
any Senator within the electoral
unit, and in such a situation, shall notify the Secretary of the Faculty or
II. Minutes of the
A. There
shall be a
B. Minutes
shall become official on approval by the
C. Incorporation
into the official minutes of verbatim remarks shall be allowed or disallowed at
the discretion of the
III. Special Committees
A. Special
committees shall be established by the Senate at the discretion of the Chair of
the Faculty, in consultation with the
Faculty Officers.
B. Members
of the special committees may be appointed by the Chair of the Faculty or he or
she may ask the Senate to elect committee members. At least one senator shall be on
each special committee.
C. The Chair of the Faculty may appoint the chair
of special committees or these chairs may be elected by the committee members.
D. Non-Senate faculty members as well as Senators
may serve on special committees.
E. Appellate
Committee members, excluding the
Faculty Grievance Committee, must be permanently tenured, voting faculty
holding no administrative title (Appendix
D, Tenure and Promotion Policies and Procedures of ECU).
F. The
process for election of Appellate Committees (Appendix D, Tenure and Promotion Policies and Procedures of ECU)
will be as follows:
1. The
Appellate Committee preference form will be distributed to all faculty, by the
Committee on Committees with assistance
of the office personnel in January.
The completed preference form is due in the
2. The
Committee on Committees will review all preference forms and present to the
3. This
by-law may be suspended in accordance with procedures specified in Robert's Rules of Order, Newly Revised.
4. Members
of the Faculty Governance Committee can not be elected concurrently to an
appellate committee.
IV.
Membership
Membership of
Members of committees serve in accordance with their
ability, training, and experience rather than as representatives of their electoral unit.
The process for election of academic and selective
administrative committees will be as follows:
1. The
Academic and Administrative Committee preference forms will be distributed to
all faculty, by the Committee on Committees with assistance of the office personnel in January. The completed forms are due in the
2. The Committee on Committees will review all
preference forms and present to the
Members are elected to staggered three-year terms, which may
extend to the beginning of the fall semester; faculty members are generally not
elected to more than one academic committee.
Service on a single academic or administrative committee is limited to
election to two consecutive 3-year terms with ineligibility for election to the
same committee for at least one year.
Student members are nominated by the Student Government Association for
appointment by the Chancellor.
All University Academic Committees are Standing Committees
of the
Officers: Officers
of each committee are elected from the membership of the committee, excluding
ex-officio, by the members of the committee, for a term of one year. Previous
service as a committee officer shall not prejudice a member's election to any
committee office. Under normal circumstances each committee shall have a
chairperson, a vice chairperson, and a secretary. Upon organization of the new committees, at
the Committees' Organizational meetings beginning in the Fall, the former
chairperson if available will
turn over committee records to the new chairperson. The Chair of the Faculty may declare an elected member's seat
vacant upon the occurrence of three consecutive absences of that member. The
Chair of the Faculty will appoint faculty members to fill vacancies of any
University Academic Committee that may occur during the academic year. Interim elections may be held to fill an
office that has become vacant or to replace an officer that two-thirds of the
full committee membership deems is not fulfilling the obligations of the
office.
The charge of each
Each committee shall operate according to the latest version
of Robert's Rules of Order, Newly Revised.
Minutes of each committee are on file
in the
A file on each committee's activities, minutes, and other
records shall be maintained in the
The committees' annual reports shall be composed by the committee officers according to
the official form and submitted to the
The Chair of the Faculty shall each year compile the Annual
Report of the
The Annual Report of
the
Currently there are two
Academic Awards Committee
Academic Standards Committee
Admission and Retention Policies Committee
Calendar Committee
Continuing and Career Education Committee
Educational Policies and Planning Committee
Faculty Governance Committee
Faculty Information Technology Review Committee
Faculty Welfare Committee
Libraries Committee
Research/Creative Activity Grants Committee
Student Academic Appellate Committee
Student Scholarships, Fellowships, and Financial Aid
Committee
Teaching Grants Committee
Unit Code Screening Committee
University Athletics Committee
University Budget Committee
As the need arises, additional committees are created, by the Committee on Committees to
assist in the academic policy-making process.
V.
The Chair of the Faculty or his/her
designee shall serve as an ex-officio member without vote. The
duties and responsibilities of this Board are described in Appendix F. of the ECU
Faculty Manual.
VI. Faculty Assembly Delegates and
Alternates
The process for election of Faculty Assembly Delegates and
Alternates (Part X, Charter of the
1.
The Faculty Assembly nomination form will be distributed to all faculty
by the Committee on Committees with
assistance of the office personnel in November. The completed nomination forms are due in the
2.
The Committee on Committees will review the nominations and present to
the
Approved:
April 13, 2005
Amended:
APPENDIX B
POLICY FOR THE CUMULATIVE REVIEW OF
PERMANENTLY TENURED FACULTY OF
Link to proposed revisions:
http://www.ecu.edu/cs-acad/fsonline/customcf/facultysenate/08-42.htm
CONTENTS
I. Preamble
II. Description of Policy
A. Timing
B. Performance
Standards for the Review
C. Cumulative
Review Committee (CRC)
D. Review
Process
E. Reconsideration
F. Faculty Development
Plan
G. Subsequent
Evaluation
III. Form A and B
I. Preamble
On May 16,
1997, the Board of Governors mandated the review of performance of tenured
faculty in the
II. Description of Policy
[Please refer to interpretation #I98-10
located in the Index of ECU Faculty Manual Interpretations at http://www.ecu.edu/fsonline/interpretations.htm]
A. Timing
At
five-year intervals, beginning with academic year 1998-1999, each permanently
tenured faculty member shall have a review of all aspects of his or her
professional performance during the review interval. A review leading to promotion in rank
qualifies as a cumulative review. A
faculty member granted permanent tenure shall be reviewed within five years of
the granting of tenure.
Probationary-term faculty members are excluded because other review
mechanisms exist to evaluate their performance.
Unit* administrators, deans, and administrators at the division or
university level shall be excluded from this policy. After returning to full-time
teaching/research responsibilities, administrators shall be evaluated in their
fifth year and following five-year intervals.
Each
academic unit’s tenure committee shall decide whether all of its tenured
faculty will be reviewed in the same year or whether its tenured faculty will
be reviewed according to a serial plan.
Those units choosing a serial plan shall also determine the method of
serialization.
B. Performance Standards for the Review
For the
cumulative review of performance for the five-year period, the unit’s Tenure
Committee shall draft standards of “exemplary,” “satisfactory,” and “deficient”
performance, taking into account the provisions of Appendix C, Section I, C and
D of the ECU Faculty Manual, the unit’s code provisions, and the primacy
of teaching/advising within the UNC system institutions. These standards should be consistent with
changing goals of the unit and the university while also considering varying
expectations at the time of the granting of permanent tenure for individual
faculty members.
The Tenure
Committee shall submit the proposed standards to the unit administrator for
concurrence or nonconcurrence. At that
point, two possible actions may occur.
(1) If the unit administrator concurs, he or she shall forward the
standards to the next higher administrator.
If the next higher administrator does not agree with the standards
developed by the Tenure Committee and concurred with by the unit administrator,
every effort (including discussion and negotiation) shall be made to resolve
the disagreement. If the effort fails,
the matter shall be referred to the next higher administrator who may accept
the standards or return them for revision.
(2) When the unit administrator and Tenure Committee disagree, every
effort (including discussion and negotiation) shall be made to resolve the
disagreement within the unit. If the
effort fails, the matter shall be referred to the next higher administrator who
may accept the standards or return them for revision. In either case, any amendment to these
standards must be approved by a vote of at least 2/3 of the Tenure Committee
and follow the same process for initially proposed standards.
C. Cumulative
Review Committee (CRC)
The Tenure Committee will elect a minimum of three faculty
members and one alternate from the permanently tenured voting faculty (ECU
Faculty Manual, Appendix L, Section A. Voting Faculty Member) not holding
administrative status to serve on the Cumulative Review Committee. The alternate shall serve when a member is
unable to serve. Members on the Cumulative
Review Committee shall serve for one academic year.
When a unit is unable to elect three permanently tenured
voting faculty members not holding administrative status, the next higher
administrator above the unit level shall appoint permanently tenured voting
faculty not holding administrative status from other units to increase the
committee’s membership to three members and one alternate. These appointments to the committee must be
from one list of candidates selected by a vote of the permanently tenured and
probationary-term faculty of the unit.
The list forwarded to the next higher administrator by the appropriate
faculty will contain at least twice the number of faculty members required to
complete the membership of the committee.
Before voting on the list to be forwarded to the next higher
administrator, the voting faculty will ascertain that faculty members nominated
to have their names placed on the list are willing and able to serve in this
important capacity. The list of faculty
names recommended to the next higher administrator may not be returned for
revision.
D. Review Process
Cumulative
Review of Permanently Tenured Faculty shall cover all aspects of the faculty
member’s professional performance and be based on the faculty member’s most
recent annual reports and most recent annual performance evaluations (ECU
Faculty Manual, Appendix C, Section III. Evaluations) for the cumulative
review period. The review shall take
into account the faculty member’s contribution for the period to the mission of
the unit, the school or college, and the university. Permanently tenured full-time faculty members
who have received University approved leaves of absence shall not have such
leave time counted as part of the cumulative review period.
Should a
subsequent academic unit administrator disagree with the annual reviews and
annual reports of an individual faculty member composed before the term of
office of the incumbent administrator, the administrator shall not dismiss,
alter, or argue against the body and conclusions of the earlier annual reviews
and reports.
The initial
review shall be conducted by the unit administrator who, using the attached
Form A or Form B, shall prepare a summary report which categorizes each faculty
member’s performance as exemplary, satisfactory, or deficient. The report, together with the annual reports
and annual performance evaluations, shall be reviewed by the Cumulative Review
Committee. For each faculty member, the
Cumulative Review Committee shall either agree or disagree with the findings of
the unit administrator.
When the
unit administrator and the Cumulative Review Committee agree, the unit
administrator shall report the results of the cumulative review in writing to
the faculty member and place a copy of the written evaluation in the faculty
member’s personnel file. Faculty whose
cumulative review reflects exemplary performance shall be recognized and
rewarded.
When the
unit administrator and Cumulative Review Committee disagree, every effort
(including discussion and negotiation) will be made to resolve the disagreement
within the unit. If the effort to
resolve the disagreement fails, the matter will be referred to the next higher
administrator for final decision.
E. Reconsideration
A faculty
member whose review process determines a deficient performance level shall have
the opportunity to respond within 20 calendar days. The faculty member may request that the unit
administrator and Cumulative Review Committee reconsider the evaluation based
on additional substantive information provided by the faculty member. In reconsidering the evaluation, the unit
administrator and Cumulative Review Committee shall have the opportunity to
nullify, modify, or reconfirm the original evaluation.
If, upon
reconsideration, the unit administrator and Cumulative Review Committee
disagree, every effort (including discussion and negotiation) shall be made to
resolve the disagreement within the unit.
If the effort fails, the matter shall be referred to the next higher
administrator for final decision.
The unit
administrator shall report the decision in writing to the faculty member and
place a copy of the report in the faculty member’s personnel file.
F. Faculty Development Plan
A faculty
member whose cumulative review reflects deficient performance shall negotiate a
formal development plan with the Cumulative Review Committee and the unit
administrator. The development plan must
identify specific strengths and deficiencies and also define specific goals or
outcomes that would help the faculty member overcome the identified
deficiencies. It should also outline
activities, set guidelines, indicate approved criteria by which the faculty
member could monitor his or her progress, and identify the source of any
institutional commitments, if required.
The development plan shall set reasonable time limits, not to exceed
three academic years from the implementation of the plan. The plan shall represent a commitment by the
faculty member, the Cumulative Review Committee, and the unit administrator to
improve the faculty member’s performance and provide adequate resources to
support the plan. The plan shall be
consistent with the faculty member’s academic freedom (as defined by the ECU
Faculty Manual, Part III), shall be self-directed by the faculty member,
and shall be sufficiently flexible to allow for subsequent amendment, if
necessary. Such amendment will follow
the same process as the development of the original plan. If the unit administrator, Cumulative Review
Committee, and faculty member cannot agree on a formal development plan, each
party’s draft of a plan will be forwarded to the next higher administrator, who
will make the final decision. The
faculty member’s development progress shall be reviewed annually by the Cumulative
Review Committee and the unit administrator, who shall provide a written
evaluation of progress to the faculty member.
G. Subsequent Evaluation
If the
faculty member’s cumulative performance level is satisfactory within the
designated period of time, the unit administrator shall report the results of
the cumulative review in writing to the faculty member and place a copy of the
written evaluation in the faculty member’s personnel file. The faculty member will undergo another
cumulative review at the beginning of the next cumulative review interval. If the faculty member’s cumulative
performance level remains deficient after the designated period, the unit
administrator may recommend that serious sanctions be imposed as governed by
Appendix D, Section VI, “Due Process Before Discharge or Imposition of Serious
Sanction,” of the ECU Faculty Manual and the Code of the Board of
Governors of the University of North Carolina.
*With respect to personnel matters relating to Cumulative
Review, academic units are defined as departments described in the codes of
operation of professional schools, the departments in the College of Arts and
Sciences, professional schools without departments, Academic Library Services,
Health Sciences Library, and any other units in which faculty appointments are
made. In the
III. Form A and B
Cumulative Review of Permanently
Tenured Faculty
Form A
Faculty
member: _________________
School/department: ______________
DATE: __________________
I. Summary of Annual Evaluations:
|
|
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
|
A.
Teaching/advising |
|
|
|
|
|
|
B.
Research or creative productivity |
|
|
|
|
|
|
C.
Professional service |
|
|
|
|
|
|
D.
Patient Care |
|
|
|
|
|
|
E.
Other duties |
|
|
|
|
|
|
OVERALL |
|
|
|
|
|
II. Cumulative Review Evaluation: _______ Exemplary
_______
Satisfactory
_______
Deficient*
*A
“deficient” evaluation must be accompanied by a written justification for this
finding.
________________________________________________________________
Submitted
by: ______________________ __________________
Unit Administrator Date
Cumulative
Review Committee Response: _______
Agree
_______
Disagree
_______________________________ _________________
Committee Chair
Date
Cumulative Review of Permanently Tenured Faculty
Form B
Faculty
member: ____________
School/department: ______________
Date: __________
________________________________________________________________
I. Summary of Annual Evaluations:
II. Cumulative Review Evaluation: _______ Exemplary
_______
Satisfactory
_______
Deficient*
*A
“deficient” evaluation must be accompanied by a written justification for this
finding.
________________________________________________________________
Submitted
by: _______________ __________________
Unit Administrator Date
Cumulative
Review Committee Response: _______
Agree
_______
Disagree
________________________________ _________________
Committee Chair Date
Appendix C
PERSONNEL POLICIES AND PROCEDURES FOR THE FACULTY OF
CONTENTS
I. Selection and Appointment of New
Faculty
A. Determination
of Number and Nature of Positions
B. Selection
Procedure
C. General
Criteria
D. Specific
Criteria for Appointment
E. Initial
Appointment
II. Assignments
A. Assignment
of Teaching Responsibilities
B. Assignment
of Released Time
III. Evaluation
IV. Professional Advancement
V. Salary
A. Initial
Salary
B. Determination
of Annual Salary Increments
VI. Faculty Personnel Files
VII. Amendment Procedure
I. Selection and Appointment of New
Faculty
A. Determination
of Number and Nature of Positions
Needed allocation of positions is the prerogative of the
vice chancellor for academic affairs, the vice chancellor for health sciences
and the vice chancellor for student life, as appropriate.
The unit administrator is responsible for recommending
through administrative channels to the vice chancellor for academic affairs,
the vice chancellor for health sciences, or the vice chancellor for student
life the number and nature of positions needed to carry on the functions of the
unit.
The unit administrator, in keeping with the mission of the
unit and the institutional context, shall follow the provisions of the unit
code in making recommendations concerning the number and nature of positions
needed.
B. Selection
Procedure
The unit administrator shall notify the unit personnel
committee of the number and nature of positions allocated to the unit. The
actual selection process must then proceed in accordance with Appendix D, Tenure and Promotion Policies
and Procedures and Part VI, General
Personnel Information, the most recently revised Affirmative Action Plan,
and applicable unit code provisions.
C. General Criteria[3]
For appointment, as well as reappointment and promotion, the
faculty member is evaluated on potential or achievements in:
·
Teaching
·
Creative
Activity/Research
·
Service
to the university, the profession, and the community.
1. Teaching
2. Creative
Activity/Research
3. Service
D. Requirements
for ranks and titles
1. General
Provisions
Appointments are made at the academic ranks of instructor,
assistant professor, associate professor, and professor. These are the only
ranks which may involve a permanent tenure commitment. Appointments to all
other titles are for a definite term and do not involve a permanent tenure
commitment.
The following are the minimum required qualifications which
may be considered when making appointments.
2. Ranks of
Tenure-Track appointments
Instructor
·
has
evidence of a sound educational background for the specific position, or has
equivalent professional experience
·
has
completed most or all the requirements for the appropriate terminal degree
·
has
demonstrable proof that the degree will be obtained within a short period of
time as agreed upon by the academic unit and the appointing officer
·
has
demonstrated potential for effective teaching
·
has
demonstrated potential for effective clinical practice in disciplines where
appropriate
Assistant Professor
·
has
qualifications of the previous rank
·
holds
the appropriate terminal degree, as evaluated by the academic unit and affirmed
by the appointing officer and the profession concerned
·
shows
evidence of potential for continued professional growth in teaching
effectiveness, creative activity, or research
·
has
ability and willingness to participate in departmental, college, and university
affairs
·
has
membership in professional organizations
·
has
demonstrated expertise in clinical practice in disciplines where appropriate
Associate Professor
·
has
qualifications of the previous rank
·
has
demonstrated teaching effectiveness
·
has
a record of creative or research activity resulting in publication or
comparable productivity
·
has
demonstrated ability and willingness to participate in department, college, and
university affairs
·
has
a record of effective service to the profession
·
has
a record of effective clinical practice in disciplines where appropriate
Professor
·
has
qualifications of the previous rank
·
has
an established record of excellence in teaching
·
has
a significant record of creative or research activity resulting in publication
or comparable productivity
·
has
demonstrated excellent ability and willingness to participate in department,
college, and university affairs
·
has
a record of significant service to the profession
·
has
a record of effective clinical practice in disciplines where appropriate
3. Titles of
Fixed-Term Appointments
a. Faculty with
duties primarily in instruction
Teaching Instructor
·
holds,
at a minimum, a master’s degree appropriate to the area of instruction, or has
equivalent professional experience
·
has
demonstrated potential for effective teaching
Teaching Assistant Professor
·
has
qualifications of the previous title
·
holds
the appropriate terminal degree, as evaluated by the academic unit and affirmed
by the appointing officer and the profession concerned
·
has
demonstrated effectiveness in teaching
Teaching Associate Professor
·
has
qualifications of the previous title
·
has
demonstrated superior teaching ability
·
engages
in professional development activities
Teaching Professor
·
has
qualifications of the previous title
·
has
demonstrated excellence in teaching
·
engages
in professional development activities
·
has
demonstrated a degree of proficiency sufficient to establish an excellent
reputation among colleagues
·
is
qualified and competent in mentoring others (such as graduate students,
teaching instructors, etc.)
b. Faculty with
duties primarily in research
Research faculty are typically externally funded. Research
faculty are encouraged to give seminars and teach occasional courses in their
specialty. Teaching is at the discretion of the unit and the availability of
funds.
Research Instructor
·
holds
a minimum of a master’s degree appropriate for the specific position or has
equivalent professional experience
·
has
demonstrated potential for effective research
·
should
be capable of carrying out individual research or should be trained in research
procedures
·
should
have had the experience and specialized training necessary to develop and
interpret data required for success in such research projects as may be
undertaken
Research Assistant Professor
·
has
qualifications of the previous title
·
holds
the appropriate terminal degree, as evaluated by the academic unit and affirmed
by the appointing officer and the profession concerned
·
has
demonstrated effectiveness in research
·
is
qualified and competent to direct the work of others (such as technicians,
graduate students, etc)
Research Associate Professor
·
has
qualifications of the previous title
·
has
extensive successful experience in scholarly or creative endeavors
·
has
the ability to propose, develop, and manage major research projects
Research Professor.
·
has
qualifications of the previous title
·
has
demonstrated a degree of proficiency sufficient to establish an excellent
reputation among colleagues
·
has
demonstrated scholarly production in research, publications, professional
achievements or other distinguished and creative activity
c. Faculty with
duties primarily in clinical teaching
Clinical Instructor
·
holds,
at a minimum, a graduate degree appropriate for the specific position or has
equivalent professional experience
·
has
demonstrated potential in clinical practice and teaching in the field
Clinical Assistant Professor
·
has
qualifications of the previous title
·
holds
the appropriate professional degree, as evaluated by the academic unit and
affirmed by the appointing officer and the profession concerned
·
has
training and experience in an area of specialization
·
has
demonstrated expertise in clinical practice and teaching in the field
Clinical Associate Professor
·
has
qualifications of the previous title
·
has
extensive successful experience in clinical or professional practice in a field
of specializations, or in a subdivision of the field, and in working with
and/or directing others (such as professionals, faculty members, graduate
students, etc) in clinical activities in the field
·
has
demonstrated superior teaching ability
Clinical Professor
·
has
qualifications of the previous title
·
has
demonstrated a degree of sustained excellence in clinical practice and teaching
sufficient to establish an outstanding reputation among colleagues
d. Additional faculty
titles
Artist-in-Residence; Writer-in-Residence. These titles may
be used to designate temporary appointments, at any salary and experience
level, of persons who are serving for a limited time or part-time, and who are
not intended to be considered for professorial appointment.
Adjunct Instructor; Adjunct Assistant Professor; Adjunct
Associate Professor; Adjunct Professor. These titles are used to appoint
outstanding persons who have a primary employment responsibility outside the
university or in a different department in the university, and who bring some
specific professional expertise to the academic program. These positions are
typically unfunded.
Affiliate Instructor; Affiliate Assistant Professor;
Affiliate Associate Professor; Affiliate Professor. These titles are used in
the
Visiting Instructor; Visiting Assistant Professor; Visiting
Associate Professor; Visiting Professor. The prefix “visiting” before an
academic title is used to designate a short-term full or part time appointment
without tenure. Therefore the visiting title shall not be used for periods of
time beyond the initial contract period. It shall be used only for those
fixed-term faculty members who are visitors, temporary replacements, or for
whose disciplines the institution in good faith expects to have only a
short-term need. Use of the visiting title for an individual for more than 3
years is a misuse of this title.
4. Emeritus
status
The titles “emeritus” and “emerita” will be conferred upon
those retired faculty, including those on Phased Retirement, who have made a
significant contribution to the university through a long and distinguished
record of scholarship, teaching, and/or service.
E. Initial Appointment
Appointment to the faculty is made by the chancellor or
his/her designee.[4] Criteria for evaluation of faculty performance
shall be provided in writing and discussed before initial employment. A record of this discussion shall be placed
in the faculty member's personnel file.
Any action conferring permanent tenure with the initial appointment
requires approval of the board of trustees. The initial contract shall be
signed by the chancellor, or his designee, and the appointee. This contract
shall be accompanied by and elaborated on by a letter signed by the chancellor,
or his designee, and a letter signed by the unit administrator.
The chancellor's letter shall specify rank or title; salary;
length of appointment; and tenure status, whether fixed term, probationary term
appointment, or appointment with permanent tenure (ECU Faculty Manual, Appendix D). The unit administrator's letter
shall establish the specific conditions of employment.
II. Assignments
A. Assignment of
Teaching Responsibilities
Prior to making final faculty assignments and at least two
weeks prior to the beginning of each semester, the unit administrator shall
apprise each unit faculty member, in writing, of the duties and
responsibilities in teaching, after soliciting faculty teaching preferences. If
changes in a faculty member's assignment become necessary, the faculty member
shall be notified of such changes prior to the effective date of the amended
assignment.
B. Assignment of
Released Time
Faculty members who are to be granted released time from
teaching shall be informed in writing of the purpose of the reduced teaching
assignment.
III. Evaluation
Each faculty member with a probationary term appointment and
each permanently tenured faculty member shall receive annually an evaluation of
his/her performance from the unit administrator which shall be based upon
current academic year data, except that data from the previous year's spring
semester survey of student opinion of teaching may be utilized when current
spring semester survey data are unavailable[5].
This annual evaluation shall:
· be
in writing;
·
state
the percentage of variable salary increment available to the unit to be
recommended by the unit administrator for the faculty being evaluated;
·
be
discussed with the faculty member prior to being sent to any other
administrator or placed in the faculty member's personnel file; in the case of
faculty members with probationary period appointments, a record of this
discussion shall be placed in the faculty member's personnel file; and
·
be
signed and dated by the unit administrator and the faculty member, who may
attach to the evaluation a concise comment regarding the evaluation. The
signature of the faculty member signifies that the faculty member has read, but
does not necessarily concur in, the evaluation.
The unit administrator shall forward to each faculty member
a copy of that member's annual evaluation within ten days after completing the
evaluations of unit members.
The unit administrator's annual performance evaluation of
faculty members shall employ the criteria contained in the unit code approved
by the chancellor (ECU Faculty Manual,
Appendix L). The evaluation shall be
based upon that year's assigned duties and responsibilities (except, as earlier
noted, for the previous year's Spring semester survey of student opinion) and
shall consider:
1. teaching
The quality of teaching must be evaluated by means of
a. data
from surveys of student opinion, when such data have been gathered in
accordance with established procedures of the department or the university
which guarantee the integrity and completeness of said data. As part of the
effort to evaluate the teaching of faculty members, each unit shall either:
develop and use its own instrument(s) as approved by the chancellor to
determine student opinion of teaching or utilize the instrument developed by
the Teaching Effectiveness Committee to determine student opinion of teaching.
b. formal
methods of peer review, including direct observation of the classroom teaching
of new and tenure-track faculty.
c. procedures
provided for in unit codes;
2. research and
creative activities;
3. patient care;
4. services
rendered on department, school, college, and university committees, councils,
and senates; service to professional organizations; service to local, state and
national governments; contributions to the development of public forums,
institutes, continuing education projects, patient services and consulting in
the private and public sectors; and
5. other
responsibilities as may be appropriate to the assignment.
The relative weight given to teaching, research/creative
activity, and service in personnel decisions shall be determined by each unit
code. In no case, however, shall service be weighed more heavily than either
teaching or research/creative activity. (
IV. Professional Advancement
Promotion is a means through which professional achievement
is encouraged, recognized, and rewarded by the university. Evaluation of
faculty for purposes of promotion shall accord with the regulations established
in accordance with the unit code and shall employ the criteria contained in the
unit code approved by the chancellor (ECU
Faculty Manual, Appendix L).
Departments in professional schools may also establish
guidelines for evaluation of faculty for promotion consistent with the criteria
in their school’s unit code. Specific
regulations and criteria governing evaluation of faculty for purposes of
promotion may vary from unit to unit. As a minimum each unit shall:
·
apply
published criteria in teaching and creative activity and service for evaluating
faculty for promotion;
·
make
available procedures which will permit each faculty member to report
achievements annually or on a more frequent basis;
·
assure
each faculty member the right to discuss one's candidacy with the unit
administrator and/or the personnel committee at any time; and
·
notify
each faculty member within four days of receipt of the administration's call
for promotion recommendations.
Upon request by the faculty member, the unit administrator
and the unit personnel committee shall evaluate the faculty member for
promotion. Following such evaluation, the unit administrator and the personnel
committee shall inform the faculty member of their respective
recommendations. Promotion shall be
based primarily upon the faculty member's total demonstrated professional competence
and achievement. Procedures to be followed for promotion are found in ECU Faculty Manual, Appendix D. Among the many qualifications which may be
considered when making recommendations for promotion, the following are
essential:
Assistant Professor
·
has
qualifications of the previous rank
·
holds
the appropriate terminal degree, as evaluated by the academic unit and affirmed
by the appointing officer and the profession concerned
·
shows
evidence of potential for continued professional growth in teaching
effectiveness, creative activity, or research
·
has
ability and willingness to participate in departmental, college, and university
affairs
·
has
membership in professional organizations
·
has
demonstrated expertise in clinical practice in disciplines where appropriate
Associate Professor
·
has
qualifications of the previous rank
·
has
demonstrated teaching effectiveness
·
has
a record of creative or research activity resulting in publication or
comparable productivity
·
has
demonstrated ability and willingness to participate in department, college, and
university affairs
·
has
a record of effective service to the profession
·
has
a record of effective clinical practice in disciplines where appropriate
Professor
·
has
qualifications of the previous rank
·
has
an established record of excellence in teaching
·
has
a significant record of creative or research activity resulting in publication
or comparable productivity
·
has
demonstrated excellent ability and willingness to participate in department,
college, and university affairs
·
has
a record of significant service to the profession
·
has
a record of effective clinical practice in disciplines where appropriate
Promotion usually should be accompanied by a salary
increment which shall be separate from any and all other increments to which
the individual may be entitled.
Notwithstanding any previous statement that has appeared herein,
competence for promotion to a specific rank may be attested to by advanced
study, culminating in appropriate graduate degrees, or by extensive work experience
in the teaching fields or in a professional practice which is demonstrably of
highest quality.
V. Salary
A. Initial Salary
Initial salary shall be based on degree attainment,
pertinent experience, professional activity, scholarly publication or its
equivalent, and level of responsibility, consideration being given to the
salaries of personnel presently in the unit and salaries within the discipline
in comparable institutions.
B. Determination of
Annual Salary Increments
The unit administrator shall recommend annual salary
increments to appropriate administrative officials in accordance with
requirements imposed by the North Carolina General Assembly, The University of
North Carolina Board of Governors, and the university administration, and shall
employ any additional criteria that have been established in this appendix, in
units codes, or in policies required by unit codes. Basic criteria for assessing merit shall
include the degree of teaching excellence; creative activity and research;
service to local, state, and national governments; as well as contributions to
the development of public forums, institutes, continuing education projects,
and patients' services. The unit
administrator shall report annually to the unit, in dollar amounts and percentages,
the total increment allotted, mean salary increment, and range in salary
increments for the unit. Each faculty member shall be informed by the unit
administrator of any salary increment recommendations made on behalf of the
faculty member by the unit administrator.
VI. Faculty Personnel Files
(Please refer to ECU Faculty Manual Interpretation #I90-1.)
Please see the ECU Faculty Manual, Part VI. for further
information on state statutes and ECU policy concerning faculty personnel
files. (
VII. Amendment
Procedure
Amendments to ECU
Faculty Manual, Appendix C. Personnel Policies and Procedures may be
proposed by any full-time member of the faculty, by any faculty committee, or
by any member of the administration of
Approved:
18 March 1994
ECU Board of Trustees
Amended:
Interpretation:
Interpretation
made to Section VI. (2-15-90)
APPENDIX D.
TENURE AND PROMOTION POLICIES AND PROCEDURES
OF
CONTENTS
I. Tenure
II. Faculty Appointments
A. General
Provisions
B. Fixed-Term
Appointments
C. Probationary
Appointments
D. Initial Appointment with Permanent
Tenure
E. Joint Appointments
III. Promotion
IV. Procedures
for Initiation, Review, and Approval of Appointments, Reappointments,
Promotions, and the Conferral of Permanent Tenure (A description of "voting faculty"
may be found here.)
A. Unit
Committees
B. Role of Unit
Administrator
C. External
Peer Review for Promotion and the Conferral of Permanent Tenure
D. Documentation
for Personnel Actions
E. Initiation
of Recommendations
F. Notification
of Recommendations
G. Procedure
for Concurring Recommendations
H. Procedure for
Non-Concurring Recommendations
V. Procedure
for Appeal of Notice of Non-Reappointment or Non-Conferral of Permanent Tenure
A. Deadlines
for Appeals
B. Request
for Hearing with the Faculty Hearing Committee
C. Validation
of the Request for Hearing
D. Procedures
for the Hearing
E. Procedures
After the Hearing
VI. Due Process Before Discharge or
Imposition of Serious Sanction
A. Penalties
B. Notice
C. Penalty
Without Recourse
D. Specification
of Reasons and Hearing Request
E. Due
Process Committee
F. Procedures
for the Hearing
G. Procedures
After the Hearing
H. Appeal
I. Suspension
During a Period of Intent to Discharge
VII. Termination of Faculty Employment
A. Reasons
Justifying Termination and Consultation Required
B. Termination
Procedures
VIII.
Effective Date
Tenure and Promotion
Policies and Procedures of
Prologue
Academic
freedom, the set of norms and values that protects a faculty member's freedom
of intellectual expression and inquiry, is essential to the achievement of
knowledge and understanding.
With respect to personnel matters
relating to Appendix D of the East
Carolina University Faculty Manual, academic units are defined as
departments described in the codes of operation of professional colleges and
schools, the departments in the College of Arts and Sciences, professional
colleges and schools without departments, Academic Library Services, Health
Sciences Library, and any other units in which faculty appointments are made.
In the
I. Tenure
Academic tenure serves to
insure academic freedom by guarding faculty members against negative
consequences of expressing unpopular points of view. Academic tenure refers to
the conditions and guarantees that apply to a faculty member's professional
employment. Tenure protects a faculty
member against involuntary suspension or discharge from employment or reduction
in rank except upon specified grounds and in accordance with the procedures
provided in Section VI.; or against termination of employment except as
provided for in Section VII. During the
term of such guarantees, the faculty member may be discharged or suspended from
employment or diminished in rank only for reasons of incompetence, neglect of
duty, misconduct of such a nature as to indicate that the individual is unfit
to continue as a member of the faculty, or demonstrable, bona fide
institutional financial exigency or major curtailment or elimination of a
teaching, research, or public service program as detailed in Sections VII.A.1
and VII.A.2. (
A. Tenure While Under
Contract to
A faculty member who does not have permanent tenure has the
protection of tenure until the expiration of the faculty member's employment
contract.
B. Permanent Tenure
1. Permanent
tenure may be conferred only by action of the Board of Trustees of East
Carolina University, and is always held with reference to employment by
2. Conferral
of permanent tenure shall be based on the faculty member's demonstrated
professional competence in teaching, research and creative activity, and
service; a potential for future contributions; and the institution's needs and
resources. While teaching is the first consideration, neither teaching nor
research and creative activity nor patient care nor service is the sole measure
of a faculty member's competence and contribution. Permanent tenure is
independent of promotion but sound academic practice supports the concept that
an assistant professor eligible for tenure should qualify for promotion to
associate professor.
II. Faculty Appointments
A. General
Provisions
1. Categories of Appointments
There
are three kinds of faculty appointments:
(a) Fixed‑Term
Appointments [cf. Special Faculty
Appointments, the UNC Code, 604C and ECU Faculty Manual, Appendix C.]. Fixed-term appointees do not hold
professorial ranks, but are appointed with the following titles: teaching
instructor, teaching assistant professor, teaching associate professor,
teaching professor, research instructor, research assistant professor, research
associate professor, research professor, clinical instructor, clinical
assistant professor, clinical associate professor, clinical professor, visiting
instructor, visiting assistant professor, visiting associate professor,
visiting professor, artist in residence, writer in residence, adjunct
instructor, adjunct assistant professor, adjunct associate professor, and
adjunct professor. Fixed-term appointments are without permanent tenure and do
not entitle the faculty member to consideration for reappointment or conferral
of permanent tenure. No obligation
exists on the part of
(b) Probationary
Appointments and Reappointments.
Probationary appointments are made at the professorial ranks of
instructor, assistant professor, associate professor, or professor. Probationary appointees are entitled to
reappointment reviews and, if reappointed throughout the probationary period,
are entitled to a tenure review. The
timing of these reviews is explained below.
(c) Appointments
with Permanent Tenure. Appointments with
permanent tenure are continuous until retirement, resignation, or removal
according to the provisions of Section VI or VII of this document. Appointments with permanent tenure may be
made at the professorial ranks of assistant professor, associate professor, or
professor.
2. Criteria for
Initial Appointment and Reappointment
All appointments, including fixed-term appointments, and all
reappointments of candidates to probationary term positions shall be
based on assessments of candidates' demonstrated professional competence,
potential for future contributions, and the institution's needs and resources.
3. Terms
and Conditions for Appointment and Reappointment
The chancellor or the chancellor's designee[6] shall set out in writing, with a copy to the
faculty member, the terms and the conditions of each appointment, including
fixed-term appointments, and each reappointment. The terms shall incorporate by
reference appropriate sections of the Faculty
Manual and shall state any conditions placed on the appointment or
reappointment.[7] The responsibility for initiating the
inclusion of special terms and conditions in documents of appointment is with
the unit administrator. Prior to initial appointment the unit administrator
shall provide a copy of the unit’s criteria for evaluating faculty performance
to persons offered a faculty appointment in the unit. Criteria for evaluating
faculty performance shall be discussed by the unit administrator in a meeting
with each fixed-term and probationary-term faculty member at the beginning of
the first term of employment and at the beginning of each academic year
thereafter. A summary of this discussion shall be placed in the faculty
member’s personnel file. The responsibility for calling this meeting is with
the unit administrator.
Notice of reappointment or non-reappointment to
probationary-term persons shall be written.
The decision not to reappoint probationary term faculty shall not be
based upon (1) 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; (2) discrimination based upon the faculty member's race,
color, national origin, religion, veteran’s status, gender, age, sexual
orientation, political affiliation, or disability; or (3) personal malice. (
4. Continued
Availability of Special Funding
The appointment or reappointment 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 continuance of the faculty member's services, whether for a specified term
or for permanent tenure, shall be contingent upon continuing availability of
such funds. This contingency shall not
be included in a faculty member's contract if the faculty member held permanent
tenure in the institution on July 1, 1975, and the contract was not then
contingent upon the continuing availability of sources other than continuing
state budget or permanent trust funds.
5. Notice of
Resignation
A fixed-term or probationary-term faculty member should
provide the unit administrator with 90 days advance notice, in writing, of
resignation from employment. A
permanently tenured faculty member should provide the unit administrator with
120 days advance notice in writing of resignation from employment. In no case
should a resignation occur in mid-semester.
B. Fixed‑Term
Appointments [cf. Special Faculty Appointments, The UNC Code, 604C]
Fixed-term faculty appointments are without permanent tenure
and do not entitle the faculty member to consideration for conferral of
permanent tenure. No obligation exists
on the part of
1. Contract and
Notice
A contract for a fixed‑term appointment shall set
forth in writing the beginning and ending dates of the term. This specification of the length of the
appointment constitutes full and timely notice of non-reappointment when the
term expires. Whenever possible
multi-year contracts, of up to five years, with eligibility for renewal, will
be offered to fixed-term faculty members who have demonstrated their
effectiveness and contributions and/or who have outstanding credentials. The provisions of 604 A and 602(4) of The
Code of The University of North Carolina do not apply to these special faculty
appointments. No obligation exists on
the part of
2. Fixed‑Term
Employment Evaluation Policy [cf.
Special Faculty Appointments, The UNC Code, 604C]
Any faculty member employed in a fixed term position shall
be evaluated annually in accordance with the provisions of the employment
contract. A fixed-term faculty member
should submit a portfolio to the Personnel Committee and the unit administrator
prior to the unit administrator and the Personnel Committee recommending
contract renewal. The portfolio should contain information that demonstrates
the effectiveness of the fixed-term faculty member in carrying out the duties
specified in the contract. The specific contents of the portfolio shall be
determined by the unit.
3. Initial
recommendations for advancement in title for faculty holding fixed term
appointments is the responsibility of the unit Personnel Committee (see Section
IV, A.1.).
C. Probationary
Appointments
Probationary appointments are made at the professorial ranks
of instructor, assistant professor, associate professor, and professor. Persons
appointed as instructors shall not be considered for reappointment with
permanent tenure until promoted to a higher rank. Persons appointed as
assistant professors, associate professors, and professors are eligible for permanent
tenure. In accordance with the UNC Code,
604A1, the faculty member shall be notified not later than twelve months before
the end of the probationary period whether he or she will be recommended for
permanent tenure. A faculty member
appointed to an administrative position is eligible for permanent tenure only
as a faculty member in one of the professorial ranks. There is no permanent tenure in an
administrative position.
During the second year of continuous service at
1. Probationary
Terms
Although the chancellor may recommend that a faculty member
be granted permanent tenure at any time, the normal probationary term for the
professorial ranks, as established at the time of initial appointment, shall be
as follows:
(a) Instructor. The rank of instructor is reserved for
persons who lack the qualifications for appointment as assistant
professor. Faculty members appointed as
instructors are eligible for an initial three-year appointment and one
successive reappointment of two years.
Instructors promoted to the rank of assistant professor no later than
the beginning of the fourth year of employment are eligible for a final
two-year probationary appointment in the higher rank. The maximum probationary term is seven years.
(b) Assistant
Professor. The maximum probationary term is seven years, consisting of an
initial three-year appointment and two successive two-year appointments.
(c) Associate
Professor. The maximum probationary term is five years, consisting of an
initial three-year appointment followed by a two-year appointment.
(d) Professor.
The probationary term is three years, consisting of one three-year
appointment.
All time served in a probationary appointment at East
Carolina University must be continuous, excluding any leaves of absence as
noted in Section II.C.3.
When a faculty member in probationary appointment requests
and is awarded promotion in rank before the end of the probationary term, the
original contractual probationary term shall not be altered.
In order to afford the maximum opportunity for tenure, the
probationary term for personnel hired at the professorial ranks, whose contract
date occurs earlier than the beginning of the Fall semester (or July 1 for
faculty in the Division of Health Sciences and Academic Library Services), will
be measured from the beginning of the subsequent Fall semester (or July 1 for
faculty in the Division of Health Sciences and Academic Library Services).
2. Reduction
of the
Reduction of the normal probationary term may be granted for
previous full-time faculty employment at the time of initial appointment as
assistant professor, or associate professor.
The granting of such reduction shall require the agreement of the
appointee, a simple majority of the unit Personnel Committee, the unit
administrator, the dean, and the appropriate vice chancellor. The maximum reduction at each professorial
rank shall be as follows:
(a) For
a candidate appointed at the rank of instructor, no reduction is allowed.
(b) For
a candidate appointed at the rank of assistant professor, a maximum reduction
of three years is allowed.
(c) For
a candidate appointed at the rank of associate professor, a maximum reduction
of two years is allowed.
(d) For a candidate appointed at the
rank of professor, no reduction is allowed.
3. Extensions
of the Probationary Term
Leaves from all employment obligations which are granted to
probationary-term faculty may include extension of the length of the
probationary term. (Leaves of absence normally should be for not more than two
academic years or occur more often than once in three years). Extensions of the
probationary term should be requested by the faculty member and shall be
granted only in cases of severe personal exigency, such as illness, childbirth,
child care, or other compelling personal circumstances, and shall be limited to
a total of no more than two years. Probationary term faculty who have received
paid leave of at least 15 weeks under the ECU Serious Illness and Disability
Leave Policy shall receive an extension of the probationary term if
requested. Extensions of the
probationary term must be expressly stated in appointment or reappointment
documents or added by a written memorandum of amendment by the unit
administrator during the term of an appointment. The probationary term may be
extended in increments of one or more academic years: one year for leaves of
one or two semesters, two years for leaves of three or four semesters. All such
extensions must be approved in writing by the faculty member, the unit
Personnel Committee, the unit administrator, the dean, the appropriate vice
chancellor, and the chancellor or the chancellor's designee. A
probationary-term faculty member who assumes a full-time administrative
position for one or more semesters may be granted extensions of the length of
the probationary term in the same way.
4. Progress
Toward Tenure Letters
Each Spring semester, the unit Tenure Committee and unit
administrator will review the annual report of each probationary term faculty
member. On the basis of this review, the unit administrator, in consultation
with the unit Tenure Committee, will write a progress toward tenure letter to
each probationary term faculty member.
In the event the unit Tenure Committee and the unit administrator cannot
agree on the contents of the letter, the next higher administrator shall confer
jointly with the unit Tenure Committee and unit administrator, determine at his
or her discretion the content of the letter, and prepare the progress toward
tenure letter. Copies of the progress
toward tenure letter will be placed in the faculty member's personnel file, and
a copy will be sent to the unit Tenure Committee and to the next higher
administrative level. The unit administrator and a representative of the unit
Tenure Committee will discuss the progress toward tenure letter with the
faculty member. In the event that the
faculty member disagrees with the contents of the progress toward tenure
letter, it is the responsibility of the faculty member to make this
disagreement known in writing addressed to the unit administrator for inclusion
in the personnel file and the PAD. Copies of this letter will be placed in the
faculty member's personnel file, and a copy will be sent to the unit Tenure
Committee and to the next higher administrative level. (See Section IV.D.3.)
5. Request for
Permanent Tenure Prior to the End of the Probationary
Term
During the Spring semester of the academic year, a faculty
member who has not completed the probationary term (see Section II.C.1-3) and
who requests in writing that consideration be given to conferral of permanent
tenure will be considered for permanent tenure during the Fall semester of the
next academic year.[8]
D. Initial Appointment
with Permanent Tenure
A faculty member whose initial appointment is to a
professorial rank with permanent tenure shall be regarded as having permanent
tenure until retirement, resignation, or removal according to the provisions of
Sections VI or VII of this document.
E.
Joint Appointments
Joint appointments are made when faculty members are
appointed with responsibilities in more than one unit. The source of funds for joint appointments may
come solely from one unit, or it may come separately from two or more units to
which the faculty member has a joint appointment.
Faculty members who hold joint appointments in more than one
unit or center within East Carolina University shall be assigned to a primary
academic unit with a greater than half-time appointment in the primary academic
unit. The letter of appointment will
specify the terms of the appointment, will identify the primary academic unit
and will reference all units in which the faculty member holds joint
appointments. A single appointment
letter signed by all supervising administrators is preferable, but in instances
where a jointly appointed faculty member has disparate duties in the various
units, a separate joint appointment letter may be issued by the administrators
of the units in which the faculty member holds joint appointments, provided
that a copy of each joint appointment letter is forwarded to the unit
administrator(s) of the other supervising unit(s).
Each appointment letter issued by the primary and joint
appointment units will specify the faculty member’s responsibilities,
performance expectations, and compensation, if any, for that department and/or
program. Annual, written evaluations of
the faculty member will be prepared by the unit administrator of the faculty
member’s primary academic unit, in consultation with the administrator(s) of
the unit(s) to which the faculty member is jointly appointed. If the administrators of the units to which
the faculty member is jointly appointed disagree on the annual evaluation, the
next higher administrator to the primary academic unit will arbitrate the
disagreement and will write the final annual faculty evaluation, if agreement cannot
be reached among all joint appointment units.
For probationary faculty appointments and permanently
tenured faculty appointments, the policies and procedures of the primary
academic unit shall be used for reappointment, tenure, and promotion of the
faculty member, as appropriate to the appointment type. Annual progress toward tenure letters for
probationary faculty will be prepared by the unit administrator of the primary
academic unit, in consultation with the administrator(s) of the unit(s) to
which the faculty member is jointly appointed, and in consultation with the
Tenure Committee of the primary academic unit.
If there is disagreement on the progress toward tenure letter, the next
higher administrator of the primary academic unit will confer with the Tenure
Committee of the primary academic unit and with the administrators of the units
to which the faculty member is jointly appointed, determine at his or her
discretion the content of the letter, and prepare the progress toward tenure letter.
For all faculty on joint appointments, annual salary
increase recommendations will be made on each funding source of the appointment
according to the guidelines of the units, the General Administration, and those
of the University. If there is one source of funding, the administrators of the
separate portions of the appointment will consult and recommend together. If
there is disagreement, it will be appealed to the next higher administrator of
the primary academic unit.
All faculty members who hold joint appointments are governed
by the ECU Faculty Manual, and all provisions of each faculty
appointment must be consistent with relevant sections of the ECU Faculty
Manual. (
III. Promotion
Persons holding the professorial rank of instructor,
assistant professor, or associate professor
may be promoted to the next professorial rank. Promotion shall be based primarily on the
faculty member's demonstrated professional competence and achievement. See Appendix
C, Personnel Policies and Procedures for the Faculty of ECU. Promotion is
governed by the policies and procedures set forth in Section IV, below. By the first week of March of every academic
year, a faculty member who wishes to be considered for promotion to the next professorial
rank shall write a letter requesting a personnel action of promotion in rank to
her or his unit administrator. The
request for promotion shall be considered by the appropriate unit committee
during the Fall semester of the next academic year.[9]
IV. Procedures for Initiation,
Review, and Approval of Appointments, Reappointments, Promotions, and the
Conferral of Permanent Tenure
(Please refer to ECU Faculty Manual Interpretation #I06-22.)
Recommendations for appointments, reappointments, promotion,
and the conferral of permanent tenure to faculty are the responsibility of unit
committees and the unit administrator.
Evaluation of faculty for appointment, reappointment, promotion, and the
conferral of permanent tenure shall be initiated by the appropriate unit
committee on notice from the unit administrator and higher administrative
authority. The appropriate unit
committee shall also evaluate faculty for promotion and the early conferral of
permanent tenure at the request of the faculty member. Once the evaluation has been completed, the
committee's recommendation and the recommendation of the unit administrator shall
be forwarded to the next higher administrator above the unit level for
initiation of administrative review of the recommendations. The pertinent structures and processes are
set forth in this section. The timeline
for these processes is set forth in Part XIII. of the ECU Faculty Manual.
Confidentiality must be maintained when conducting any
substantive business pertaining to initiation, review, conferral of permanent
tenure, and approval of appointments, reappointments, and promotions. Email should be used with discretion because
it does not guarantee confidentiality.
Formal correspondences relating to any substantive business pertaining
to initiation, review, conferral of permanent tenure, and approval of
appointments, reappointments, and promotions should be maintained in paper
form.
Description of "voting faculty"
For
the purposes of Section IV, voting faculty members are determined by the
permanently tenured faculty of the unit using the following criteria;
A
voting faculty member of a unit is someone who:
·
holds
a full-time faculty position with
·
is
either a probationary term (tenure track) faculty member or a permanently
tenured faculty member.
·
has at least one-half of the teaching/research duties
normally assigned in the unit, as determined by the permanently tenured faculty of the unit using
standards appropriate to their discipline.
·
is in at least the twelfth consecutive calendar
month of appointment to the faculty of the unit as either a probationary term (tenure track) faculty
member or a permanently tenured faculty member.
·
is
not a unit administrator or an individual with one half or more of his/her load
assigned to administrative duties as determined by the permanently tenured
faculty in consultation with the unit administrator.
·
or
normally meets the above
conditions and is on leave of absence from all university duties but is in
attendance at the meeting of the appropriate committee at the time of the
committee’s vote on a personnel action (reappointment, promotion, or tenure
recommendation). (
Related faculty within the same academic department
(or other comparable institutional subdivision of employment) shall not
participate, either individually or as a member of a committee, in the
evaluation of related persons for appointment, reappointment, promotion, the
conferral of permanent tenure, cumulative review, salary recommendations, or
any other personnel action. A faculty
member made ineligible for participation in the evaluation of a related person
does not count for quorum purposes and his/her ineligibility does not
constitute a recommendation against the proposed personnel action.
A. Unit
Committees[10]
1. Personnel
Committee
a. Function
The Personnel Committee shall be responsible for making
recommendations regarding initial probationary appointments and initial and
additional special fixed-term appointments.
b. Composition
The composition of each unit’s Personnel Committee shall be
determined by the unit but shall consist of at least three members. The
membership of the committee shall be composed of some or all of the permanently
tenured and probationary-term voting faculty members of the unit, including
those who are on leave but in attendance at the meeting at the time of the
committee's vote, but excluding the unit administrator. At least two thirds of
the unit Personnel Committee membership shall be permanently tenured voting
faculty. When there are not enough permanently tenured voting faculty members
in the unit to satisfy this requirement, additional permanently tenured faculty
shall be appointed. All other members of the unit Personnel Committee shall be
elected by the permanently tenured and probationary-term voting faculty of the
unit. The chair of the unit Personnel Committee shall be permanently tenured
and shall be elected annually by and from the committee's membership.
c. Additional
Roles of Unit Personnel Committee
In addition to making recommendations to the unit
administrator on initial and additional fixed-term appointments and initial
probationary-term appointments, the unit Personnel Committee has the following
responsibilities:
1. Notifying fixed-term faculty members
that the Personnel Committee will or will not recommend an additional
fixed-term appointment when the fixed-term faculty member requests notification
not earlier than 180 calendar days nor later than 90 calendar days before the
current term expires.
2. Reviewing requests for reduction in
the normal probationary term at the time of initial appointment (see Section
II.C.2).
3. Reviewing requests for the extension
of the normal probationary term (see Section II.C.3).
4. Consulting
with faculty members who are considering requesting conferral of permanent
tenure prior to the end of the probationary term (see Section II.C.5).
5. Consulting
with faculty members who are considering requesting promotion (see Section
III.).
6. Reviewing
additional materials submitted by faculty members for inclusion in their
personnel action dossier; consulting with the unit administrator regarding
responses to such materials (see Section IV.B.).
7. The personnel committee may elect
a search committee as prescribed by the unit’s code to fulfill the
responsibilities of soliciting and screening applicants and recommending to the
unit’s Personnel Committee candidates for initial appointments. A majority of the search committee must be
voting faculty. For the purposes of this section, administrators may not be a
part of the committee.
8. Making
recommendations for advancement in title for fixed term faculty.
d. Role
of the Chair of the Unit Personnel Committee
The chair of the unit Personnel Committee shall be
permanently tenured and shall be elected annually by and from the committee's
membership. The chair shall preside over
all committees making personnel recommendations to the faculty, and may
participate in the decisions of any committee of which the chair is a member,
except as noted below. If the chair of the
unit Personnel Committee holds a professional rank lower than that to which a
faculty member requests promotion, the unit Personnel Committee chair shall not
be eligible to participate and shall only be responsible for calling the
meetings of such committees and facilitating the election of a chair of the
committee from among its membership. In such cases where the Chair of the unit
Personnel Committee is ineligible to participate, he/she shall not attend any
meetings of the committee except to facilitate the election of the chair as
noted above. The elected chair of the
committee shall obtain and distribute materials to be used during the
deliberation of such bodies, insure that a valid vote has been taken,
communicate the results of such votes to the appropriate faculty and to the
unit administrator, and perform other duties as designated by the unit.
2. Promotion
Committee
a. Function
The Promotion Committee shall be responsible for making
recommendations for promotions in rank and for recommending the ranks of
initial appointments at the associate professor or professor level.
b. Composition
The membership of the Promotion Committee shall be composed
of those permanently tenured and probationary-term voting faculty members who
hold rank at least equal to the rank for which the candidate is being
considered, including those on leave but in attendance at the committee's
meeting at the time of the committee's vote, but excluding the unit
administrator. The composition of the committee shall thus vary with the rank
to which a faculty member is being considered for promotion. When a unit has
fewer than three permanently tenured voting faculty members of sufficient rank
and not holding administrative status, the next higher administrator above the
unit level shall appoint permanently tenured faculty at the required rank from
other units across the university to increase the committee's membership to
three, with at least two-thirds of the members being permanently tenured
faculty. These appointments to the committee must be from one list of candidates
selected by a vote of the permanently tenured and probationary-term faculty
having rank at least equal to the candidate(s) being considered for promotion.
The list forwarded to the next higher administrator by the faculty will contain
at least twice the number of faculty members required to complete the
membership of the committee. Before voting on the list to be forwarded to the
next higher administrator, the chair of the committee will ascertain that
faculty members nominated to have their names placed on the list are willing
and able to serve in this important capacity. The list of faculty names
recommended to the next higher administrator may not be returned for revision.
Meetings of the promotion committee shall be convened by the
Chair of the unit’s Personnel Committee.
The first order of business for a newly convened Promotion Committee
shall be to elect a Chair from among its membership.
3. Tenure
Committee
a. Function
The Tenure Committee shall be responsible for making
recommendations for reappointments of probationary-term faculty members,
the granting of permanent tenure, and conferral of tenure for initial
appointments with permanent tenure.
b. Composition
The membership of the Tenure Committee shall be composed of
the permanently tenured voting faculty
of the unit, including those who are on leave but in attendance at the meeting
at the time of the committee's vote, but
excluding the unit administrator. When a unit has fewer than three permanently
tenured voting faculty members not holding administrative status, the next
higher administrator above the unit level shall appoint permanently tenured
faculty from other units to increase the committee's membership to three. These
appointments to the committee must be from one list of candidates selected by a
vote of the permanently tenured and probationary-term faculty of the unit. The
list forwarded to the next higher administrator by the appropriate faculty will
contain at least twice the number of faculty members required to complete the
membership of the committee. Before
voting on the list to be forwarded to the next higher administrator, the voting
faculty will ascertain that faculty members nominated to have their names
placed on the list are willing and able to serve in this important
capacity. The list of faculty names
recommended to the next higher administrator may not be returned for revision.
c. Additional roles of the unit Tenure
Committee.
A Code Unit may establish, in its Code of Operation,
procedures for fulfilling their additional roles; however, if the Code of a
unit is silent in this regard, it is hereby established that the entire
membership of the unit Tenure Committee will participate in these additional
roles. In accordance with the unit code,
if the unit’s Tenure Committee has more than five members, the unit Tenure
Committee may elect a subcommittee of at least five members to participate in
these additional roles. The unit Tenure
Committee (or properly constituted subcommittee):
1.
Consults
with the unit administrator who writes a progress toward tenure letter to each
probationary term faculty member as described in Section II.C.4.
2.
Produces
a list of possible external reviewers and selects external peer reviewers from
lists produced by the Committee and by the candidate (see Section IV.E).
3.
Selects,
with the unit administrator, the research and creative activity materials to be
sent to external peer reviewers (see Section IV.C).
4.
Prepares
a cumulative evaluation in narrative form of the candidate’s teaching, research,
service, and any other relevant duties.
B. Role of Unit
Administrator
The unit administrator serves to provide leadership,
support, and guidance to the total functioning of the unit. As indicated at the beginning of this
section, the personnel recommendations of the unit administrator shall be
forwarded to the next higher administrator along with the recommendation of the
appropriate faculty committee.
The unit administrator is responsible for maintaining the
personnel files, providing timely notification to the chair of the unit
Personnel Committee on all personnel actions required or expected, and
distributing all personnel documents and materials to the appropriate
location. The unit administrator, in
consultation with the unit Tenure Committee (or properly constituted
subcommittee), will write a progress toward tenure letter to each probationary
term faculty member as described in Section II.C.4. The unit administrator
prepares a cumulative evaluation in narrative form of the candidate’s teaching,
research, service, and any other relevant duties.
In personnel matters, the unit administrator functions as an
administrator rather than a faculty member. Consequently, the unit
administrator does not have a faculty vote in personnel matters. Therefore, unit
administrators are excluded from all unit committee deliberations concerning
candidates for appointment, re-appointment, promotion, or permanent tenure,
(for procedure for nonconcurring recommendations, see Appendix D, Part IV.H.). However at the invitation by a majority vote
of the membership of the Personnel Committee a unit administrator may meet with
the committee to discuss initial appointments.
Further, the administrator may meet with the Tenure Committee (or
properly constituted subcommittee) in reference to progress toward tenure
letters as noted in II.C.4.
C. External Peer
Review for Promotion and the Conferral of Permanent Tenure
“External peer
review” means a review of a candidate’s research and creative activity by
persons who are not faculty or employees of
By the last week of March of the Spring term prior to the
academic year in which a promotion or tenure decision is scheduled, the unit
Tenure Committee shall produce a list of possible external reviewers. The
candidate for promotion and/or permanent tenure shall provide a similar list,
noting for each name the professional relationship, if any, between the
reviewer and the candidate. The
candidate shall also provide similar relationship information for each name on
the unit Tenure Committee's list. These two lists must be independently
compiled and if the two lists contain a common set of prospective external
reviewers, the unit Tenure Committee list shall be revisited and new possible
external reviewers shall be identified as replacement for those originally on
both lists.
The unit Tenure Committee shall select a sufficient number
of names from the unit Tenure Committee's list and the candidate's list to
ensure a minimum of three external reviewers, two from the unit Tenure
Committee's list and one from the candidate's list. Code units that require more than three
external reviewers shall make special provisions in their unit codes. These provisions must clearly indicate the
number of external reviewers required by the unit. In those cases where a unit requires more
than three reviewers, the choice of reviewers must reflect, as nearly as
possible, the two to one ratio of reviewers proposed by the unit Tenure Committee
to those proposed by the candidate.
The unit administrator will notify the reviewers that they
have been nominated to conduct the review and will ascertain their willingness
to serve as reviewers. Selected material
with a cover letter prescribed by the appropriate vice chancellor shall be sent
to the reviewers. Correspondence with
the reviewers shall be written in neutral terms, serving to neither support nor
oppose the candidate and shall not deviate substantially from the prescribed
cover letter. Copies of the prescribed letters are available on the
Only the unit administrator will communicate with the
external reviewers and only on procedural matters for the duration of the
personnel action.
The unit administrator and the unit Tenure Committee shall
select the material from the dossier to be sent to external reviewers. The candidate may include additional
published or accepted material if he or she disagrees with the initial
selection. Inclusion of such additional
items in the materials sent to reviewers shall be noted by memorandum of the
unit administrator in the dossier and the candidate's personnel file.
Upon receipt of a review, the unit administrator will place
the original review in the candidate's personnel file and copies of the review
in the candidate's dossier. The unit
administrator shall then notify the members of the appropriate committee and
the candidate that the review is available.
When fewer than three external reviewers respond, this
information, by memorandum from the unit administrator, shall be made a part of
the candidate's personnel file and dossier.
D. Documentation for
Personnel Actions
1. Employment
Applications
Information on job applicants is to be kept in a file
available to the appropriate committee (see Section IV.A).
2. Personnel
Action Dossier for Reappointment, Promotion, and Permanent Tenure
The Personnel Action Dossier is a file containing materials
for evaluating a faculty member's professional activity. The dossier is compiled by candidates for
reappointment, promotion, and/or permanent tenure in consultation with the unit
administrator and the chair of the unit Personnel Committee. The dossier will be used by the appropriate
committee in making personnel recommendations. A fixed-term faculty member
seeking to be recommended for a second or subsequent fixed-term appointment
need not compile the dossier.
3. Disagreements
as to inclusion or removal of documents
The dossier shall include the required documents and lists
relevant to the faculty member's teaching, research/creative activity, and
service as described above. If the faculty member disagrees with the unit
administrator and/or the unit personnel committee as to the inclusion of
relevant documents, the documents will be included and each may include a
statement about the document in the dossier.
For details on organization, content and limitations of the
dossier, see Part XII. of the ECU Faculty
Manual.
E. Initiation of
Recommendations by Unit Personnel, Tenure and Promotion Committees
1. Procedural Rules for conducting committee
business
The
unit administrator shall give timely notice to the chair of the unit Personnel
Committee when personnel actions are to be initiated, and of the date by which
the committee's recommendation must be communicated to the unit
administrator. After being notified by
the unit administrator that a personnel action is required, the chair of the unit
Personnel Committee shall make at least three attempts at intervals of no less
than five working days each to hold a meeting of the appropriate committee for
the pending personnel action. In order
to conduct business a committee shall not meet without a quorum.
A quorum is defined as three quarters of the membership for
a committee that has twenty or fewer members; and a quorum is defined as a
majority, defined as 50% plus one, of the membership for a committee that has
more than twenty members. A list of all committee members who were absent
during a vote on a personnel action will be forwarded to the unit
administrator. The committee may develop
policies to designate certain absences as excused absences. Unexcused absences should be considered in
annual evaluations.
The purpose of this meeting is to hold a vote by secret
ballot on the pending personnel action. All materials pertaining to the pending
personnel action (see Section IV.D) must be available for inspection at least
five business days prior to the meeting. Members of the committee(s) having
authority over the pending personnel action shall review the materials
individually in preparation for discussion at the meeting. A faculty member on leave and not in
attendance at a meeting shall not be counted for the purposes of determining a
quorum for that meeting. A faculty
member on leave but in attendance at a meeting shall be counted for the
purposes of determining a quorum for that meeting. If the committee fails to
meet the deadline for receipt of the committee’s recommendation, this outcome
shall count as a recommendation by the committee against appointment,
reappointment, promotion, or tenure. In
such a case, the chair of the unit Personnel Committee shall report in writing
to the unit administrator that after at least three attempts the committee has
failed to meet due to a lack of a quorum, and that this outcome constitutes a
recommendation against appointment, reappointment, promotion, or tenure. The unit
administrator shall forward the committee’s recommendation and the unit
administrator’s recommendation to the candidate and to the next higher
administrator.
2. a. In the case of initial appointment
recommendations, each member of the unit Personnel Committee will indicate by
secret ballot his or her choice for the appointment. A candidate who receives a majority vote of
the committee members present shall be recommended for appointment. (For
recommendations of rank of initial appointments at the associate professor or
professor level, see IV.A.2.a. For conferral of tenure for initial appointments
see IV.A.3.a.)
b. Faculty
recommendations for reappointment, promotion, and conferral of permanent tenure
shall come from the appropriate committee
(see Section IV.A). The committee members may choose to vote by mail
according to the latest edition of Robert's
Rules of Order, Newly Revised.
Within fifteen working days of notification by the unit administrator of
the need to initiate a personnel action, the chair of the unit Personnel
Committee shall convene a meeting of the appropriate committee (see Section
IV.E.1). At this meeting, the chair of the unit Personnel Committee shall
ascertain whether or not the committee will vote by mail. If a motion to vote by mail is approved by a
majority of the committee members present and voting, voting shall be by mail.
If a committee chooses to vote by mail, all members must vote by mail.
c. In the case
of contract renewal recommendations for faculty members holding fixed-term
appointments, each member of the unit Personnel Committee will indicate by
secret ballot his or her choice for or against recommending contract
renewal. This vote may be taken at a committee meeting or by mail ballot as
described in Section IV. E.2b. A vote for the recommendation by a majority of the
committee members present shall constitute a recommendation for
reemployment. A member who is present
when a vote is taken but who does not vote counts as part of the membership of
the committee for the purposes of determining what constitutes a majority vote. Failure to obtain a majority vote constitutes
a recommendation against contract renewal. (
d. If a committee votes by mail, the ballots shall be sent
by a method that provides delivery
verification and is consistent with UNC Policy 101.3.3 or distributed by
the committee chair. The refusal by a
committee member to receive the correspondence containing the ballot within
five business days of the first delivery attempt shall count as a vote against
appointment, reappointment, promotion, or tenure. If ballots are distributed, the committee
chair shall assure that recipients acknowledge receipt in writing. The acknowledgment must include the date of
receipt. A ballot either shall be
returned by a method that provides
delivery verification and is consistent with UNC Policy 101.3.3 or shall
be personally returned by hand to the committee chair, at the discretion of the
individual committee member. Committee
members returning ballots by hand shall sign a confirmation form that is retained
by the committee chair. Ballots not
returned within twenty working days of verified receipt shall count as a vote
against recommending appointment, reappointment, promotion, or tenure. If a committee votes by mail, a faculty
member on leave may choose either to vote or not to vote, at his or her
discretion. The unit administrator shall
ascertain and shall inform the chair of the unit Personnel Committee in writing
as to whether or not a faculty member on leave will participate in a mail
ballot. If a faculty member on leave
chooses to participate in a mail ballot, the faculty member shall count in
determining what is required for a majority vote in favor of the
recommendation. If the faculty member on
leave chooses not to participate in a mail ballot, the faculty member shall not
count in determining what is required for a majority vote in favor of the
recommendation. (
3. In
the case of reappointment, promotion, and conferral of permanent tenure, each
member of the appropriate committee will indicate by secret ballot his or her
vote for or against recommending that the candidate be reappointed, promoted,
and/or granted permanent tenure. This
vote may be taken at a committee meeting or by mail ballot as described in
Section IV.G E.2d. A vote for the recommendation by a majority of the
committee members present shall constitute a recommendation for reappointment,
promotion, and/or conferral of permanent tenure. A member of a committee who is present when a
vote is taken but who does not vote counts as part of the membership of the
committee for the purposes of determining what constitutes a majority vote. Failure to obtain a majority vote shall
constitute a recommendation against reappointment, promotion, and/or the
conferral of permanent tenure. (
4. The
recommendation of the appropriate committee shall be communicated by the chair
of the unit Personnel Committee or the Promotion Committee to the candidate and the unit administrator (see
IV.A.1.d.).
F. Notification
of Recommendations
The faculty member shall be informed of all recommendations
at every level, beginning with the appropriate unit committee’s recommendation
and continuing up to the level where the final decision is made.
The notification letter from the Tenure Committee and the
notification letter from the unit administrator shall contain (a) the
cumulative evaluation of the candidate’s teaching, research and service, and
any other relevant duties, in accordance with section B.3. Recommendations for
Tenure of Part XII. Personnel Action Dossier of the ECU Faculty Manual and (b) the statement that the candidate has
four working days from the date of the notification letter to include a
response to the cumulative evaluation, in accordance with section D. Supporting
Materials of Part XII. Personnel Action Dossier.
G. Procedure for
Concurring Recommendations
In the case of disagreement at any level refer to the
procedures outlined in H. below.
If the recommendations of the appropriate committee and unit
administrator agree, the next higher administrator shall either concur or not
concur, then notify the unit administrator and the chair of the unit Personnel
Committee of the recommendation and forward all recommendations to the
immediate supervisor. This procedure
shall be repeated at each administrative level until the recommendation reaches
the appropriate vice chancellor.
Immediately after the completion of each level of
administrative review, the administrator's recommendation shall be communicated
to all appropriate lower administrators, the candidate, and the committee of
the unit which made the initial recommendation.
If the vice chancellor concurs in a recommendation for promotion and/or conferral of permanent tenure, he
or she shall forward the recommendation to the chancellor. The chancellor shall
consider the recommendation from the vice chancellor to promote and to confer
permanent tenure.
If the vice chancellor concurs in a decision not
to recommend reappointment, promotion, and/or conferral of permanent tenure, he
or she shall give the faculty member being considered a simple, written
statement of the decision. This decision is final except as it may later be reviewed in accordance
with the provisions of Section V or the grievance procedure of Appendix Y.
If the chancellor concurs in a recommendation to confer
permanent tenure, he or she shall submit the recommendation to the Board of
Trustees for final approval. If the
chancellor concurs in a recommendation for promotion, the chancellor’s approval
shall be final.
H. Procedure for
Nonconcurring Recommendations
If the recommendations of an
administrator and the appropriate committee disagree, that administrator
shall discuss the potential nonconcurrence at the unit committee level before
forwarding the committee’s recommendation and his or her concurrence or
nonconcurrence to the next higher administrator. If the unit administrator and the appropriate
committee do not agree, their conflicting recommendations shall be forwarded
through each administrative level, together with the recommendation of the
administrator at each level, until they reach the appropriate vice
chancellor. In the case of fixed term
employment recommendations the decision of the appropriate vice chancellor is
final. All other personnel actions shall be handled in accordance with the
procedures provided in Section IV.G. Procedures for Concurring Recommendations.
In the event that the vice chancellor is considering a
recommendation that is contrary to the vote of the appropriate unit committee,
the vice chancellor shall meet with the committee to discuss the potential
nonconcurrence. If the vice chancellor
concurs with the committee vote but the chancellor is considering a recommendation
that is contrary to the vote, the chancellor shall meet with the committee to
discuss the chancellor's potential nonconcurrence.
If the chancellor decides not to recommend promotion or the
conferral of permanent tenure, the chancellor shall give the faculty member
being considered a simple, written statement of the decision. This decision is final except as it may be
reviewed in accordance with the provisions of Section V or the grievance
procedure of Appendix Y.
V. Procedure
for Appeal of Notice of Non-Reappointment or Non-Conferral of Permanent Tenure
Failure to submit the appeals documents specified in
this section within the time periods allotted constitutes a waiver of the right
to appeal the decision. However, before the expiration of the deadline the
faculty member may request an extension, provided that the request is made in
writing and presented to the individual or committee who is next to consider
the appeal. Within 10 working days of receiving a request for extension,
decisions on requests for extension of time shall be made by the individual or
committee who is next to consider the appeal.
B. Request for Hearing with the Faculty Hearing
Committee
Within 25 working days of receiving written notice
from the vice chancellor or chancellor of non-reappointment or non-conferral of
permanent tenure, a faculty member (hereinafter, the complainant) may request a
hearing before the Faculty Hearing Committee.
1. The
Hearing Committee
The Hearing Committee shall be composed of five
members and five alternates each of whom is a full-time, permanently tenured
voting faculty member without administrative appointment. Members shall be elected in accordance with
the procedures for election of appellate committees specified in the Bylaws of
the East Carolina University
Upon organization, the members of the Hearing
Committee shall elect a chair and a secretary. The
members of the committee are to be appropriately trained in accordance with
guidelines and procedures jointly established by the faculty officers and
chancellor. Should any committee officer be absent at the beginning of a hearing, the
committee shall elect an alternate officer for the purposes of the hearing. (
When the committee is convened to consider any
matter associated with a complainant's request for a hearing, those committee
members who hold an appointment in the complainant's academic unit, those who
might reasonably expect to be called as witnesses, those who might reasonably
expect to be asked to serve as advisors (see Section V.D.2, Conduct of the
Hearing) to any party of the hearing, or those who may have any other conflict
of interest should disqualify themselves from participation in the activities
of the committee related to this specific request for a hearing. The complainant and those individuals or
groups who are alleged to be responsible for the action or actions described by
the complainant in the request for the hearing (hereinafter, the respondents)
are permitted to challenge committee members for cause. The other members of the committee will
decide on any potential disqualifications if a committee member is so
challenged but wishes to remain.
When, between elections, membership of the committee
falls below the specified five members and five alternates, the chair of the
faculty, in consultation with the Committee on Committees, shall appoint
members to the committee. Vacancies on
the committee will be filled by first moving alternates to members and by
making appointments as alternates.
Upon receipt of a request for a hearing, the chair
of the committee shall determine the availability of the elected members and
alternates, and shall select from those available one or more alternates, as
necessary. The ranking of the available
alternates for selection shall be determined by their years of service to the
University. That available alternate who
is most highly ranked shall attend all sessions of the hearing and shall
replace a regular member should that member be unable to attend the entire
hearing.
The
committee may at any time consult with an attorney in the office of the
University Attorney who is not presently nor previously substantively involved
in the matter giving rise to the hearing, nor will advise the University
administrator(s) following the committee action(s). (See Part VIII, Responsibilities of
Administrative Officers.)
2. Initiation
of the Hearing Process
The basis for a request for a hearing must be found
in one or more of the following reasons:
(a) the decision was based on any ground stated to be impermissible in
Section 604B of The Code of The University of North Carolina; (b) the decision
was attended by a material procedural irregularity.[11]
In addition, the University Equal Employment
Opportunity policy prohibits employment discrimination based on sexual
orientation.
Section 604B of The Code of The University of North
Carolina states: “In no event shall a
decision not to reappoint a faculty member be based upon (a) the exercise by
the faculty member of rights guaranteed by the First Amendment to the United
States Constitution, or by Article I of the North Carolina Constitution, or (b)
the faculty member's race, sex, religion, national origin, age, disability, or
honorable service in the armed services of the United States, or (c) personal
malice.”
"Material procedural irregularity" means a
departure from prescribed procedures governing reappointment and conferral of
permanent tenure that cast reasonable doubt
upon the integrity of the original decision not to reappoint or not to confer permanent
tenure. Whether a material procedural irregularity occurred shall be determined
by reference to those procedures which were in effect when the initial decision
not to reappoint or not to confer permanent tenure was made and communicated.
The Hearing Committee shall ask the chancellor to certify what procedures were
then in effect if that question is a matter of dispute. (
The complainant's request for a hearing must
specifically identify and enumerate all reasons for the request. The request must include (a) a description
that is as complete as possible of the actions or the failures to act which
support each specified contention; (b) the identification of the respondents;
(c) an enumeration and description of the information or documents which are to
be used to support the contention (copies of the described documents are to be
made a part of the request for a hearing); (d) the identification of persons
who may be willing to provide information in support of the contention; and (e)
a brief description of the information those persons identified in (d) may
provide. The complainant's request for a hearing shall be made to the chair of
the Hearing Committee.
C. Validation
of the Request for Hearing.
Validation of the complainant's request for a hearing
is the first step in the hearing process.
The Hearing Committee shall convene within 15 days after receipt of the
complainant's request for a hearing. The
committee shall notify the complainant of the meeting date by a method that
provides delivery verification and is consistent with UNC Policy 101.3.3. The committee shall meet in executive session
and the meeting will be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. The committee's evaluation of the complainant's
request for a hearing shall be limited solely to the documents and information
submitted as part of the complainant's request for a hearing.
The
complainant may submit additional documentation and information supporting the
request for a hearing up to 72 hours prior to the committee meeting. All documentation and information submitted
after the original request for a hearing must (a) support contentions set forth
in the original request for a hearing and (b) be delivered to the chair in the
same manner as the original request for a hearing. Such information or documentation shall be
made a part of the original request for a hearing.
Documentation and information that do not meet
criteria set forth in the previous paragraph will not be accepted and will be
returned to the complainant.
The Hearing Committee's review of the complainant's
request for a hearing shall be limited solely to determining whether the facts
alleged by the complainant, if established, would support the contention that
the decision not to reappoint or not to confer permanent tenure was based upon
any of the grounds stated as impermissible in Section 604B of The Code of The
University of North Carolina or was attended by a material procedural
irregularity. Based on their review and
evaluation of the submitted material, the committee shall decide whether the
request for a hearing is to be validated.
If the request for a hearing is not validated, the
complainant shall be notified by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3, within 10 calendar days of the
committee meeting. Such a determination
confirms the decision not to reappoint or not to confer permanent tenure. (
The complainant may accept the decision of the
Hearing Committee not to validate or appeal to the chancellor within 10
calendar days of receipt of the Hearing Committee's decision. The chancellor,
within 14 days of the complainant's appeal shall decide to confirm the
committee's decision or shall support the complainant's request for a
hearing. (
The complainant may accept the chancellor's
confirmation of the committee's decision not to validate the request for a
hearing, or the complainant may appeal to the Board of Governors within 10 calendar days following receipt of
the Chancellor’s decision. (
If the committee validates the request for a
hearing, or the decision not to validate the request for a hearing is not
supported by the chancellor, the committee shall so notify the complainant by a
method that provides delivery verification and is consistent with UNC Policy
101.3.3 and begin the processes necessary to set the time and date for the
hearing.
D. Procedures
for the Hearing.
1. Time and
Date of Hearing
If the request for a hearing is validated, the
committee shall provide a complete copy of
the request for a hearing to the individuals named in the request for a
hearing. The committee shall set the time, date, and place for the
hearing. The date for the hearing must
be within 30 working days of the notification to the complainant that the
request for a hearing was validated. The
committee shall then notify the complainant, the respondents, the chair of the
faculty, and the chancellor, of the time, date, and place of the hearing. At least 15 working days before the hearing,
the complainant shall notify the committee, the respondents, the chair of the
faculty, and the chancellor of the identity of the complainant’s advisor, if
any, and whether or not the advisor is an attorney. (“Attorney” is defined as
anyone with a Juris Doctor, or other recognized law degree, regardless of
whether or not that person is licensed to practice law in the State of
2. Conduct
of the Hearing
The chair of the Hearing Committee or an elected
member of the committee if the chair is unavailable, is responsible for
conducting the hearing and for maintaining order during the hearing. Except as provided for herein, the hearing
shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. Attendance at the hearing is limited to the
committee's members and alternates, the complainant, one person who may advise
the complainant but who may not take an active part in the proceedings, the
respondents, an East Carolina University faculty member (with or without
administrative appointment) selected by the chancellor to represent the respondents in the conduct of the
hearing, an East Carolina University attorney who shall advise the respondents
and their representative but who may not take an active part in the
proceedings, the chancellor, and an East Carolina University attorney
representing the chancellor, who may advise the chancellor but may not take an
active part in the proceedings. Other persons (witnesses) providing information
to the committee shall not be present throughout the hearing, but shall be
available at a convenient location to appear before the committee as
appropriate. For any hearing from which
an appeal may be taken, a professional court reporter must be used to record and transcribe the hearing. (
Any such record is a part of the personnel inquiry and must be treated
with appropriate confidentiality. Only the immediate parties to the
controversy, the responsible administrators and attorneys, and the members of
the University governing boards and their respective committees and staff are
permitted access to such materials. (
The hearing shall begin with an opening statement by
the committee member chairing the hearing.
This statement shall be limited to explaining the purpose of the hearing
and the procedures to be followed during the hearing. The hearing chair explicitly will note that
the committee shall consider only information bearing on the allegations
presented in the complainant's request for the hearing.
Following the opening remarks by the hearing chair,
the complainant shall present his or her contentions and any supporting
witnesses and documentary evidence. The respondent(s), through their
representative, may then reply to these contentions and present any supporting
witnesses and evidence. During these presentations, the complainant, and the
respondent(s), through their representative, may cross-examine opposing
witnesses. Committee members may question witnesses for purposes of
clarification. At the conclusion of the
hearing, the complainant and then the respondent(s) will be given the
opportunity to provide summary statements.
E. Procedures
After the Hearing
After the hearing, the committee shall meet in
executive session and begin its deliberations or shall adjourn for no more than
two working days, at which time it shall reconvene in executive session to
determine whether it sustains or does not sustain the allegations stated in the
request for the hearing. In reaching its
decisions the committee shall consider only the testimony and other materials
entered or presented as evidence during the hearing. The complainant shall have
the burden of proof by the greater weight of the evidence to establish that a
basis for his or her contentions is found in one of the reasons listed in
Section V.B.2. Initiation of Hearing.
Within 10 working days of finishing its
deliberations the committee shall provide the complainant, respondents, and the
chancellor with a copy of the committee's report and a copy of the court
reporter's transcript of the hearing. (
If the Hearing Committee determines that the
complainant's contention has not been established, it shall, by simple,
unelaborated statement, so notify the complainant, the respondents, the chair
of the faculty, and the chancellor. Such
a determination confirms the decision not to reappoint or not to confer
permanent tenure.
If the Hearing Committee determines that the
complainant's contention has been satisfactorily established, it shall notify
the complainant, the respondents, the chair of the faculty, and the chancellor
by written notice and shall recommend further substantive review.
Within 30 working days
after receiving the recommendation of the Hearing Committee, the chancellor
shall notify the complainant, the respondents, the chair of the faculty, and
the chair of the Hearing Committee what further substantive review, if any,
will be made of the original decision not to reappoint or not to confer
permanent tenure.
If
the chancellor is considering taking action inconsistent with the committee’s
recommendations, the chancellor shall request that a joint meeting with the
committee occur within 10 working days.
At the joint meeting, the chancellor will communicate his or her
concerns and the committee will have an opportunity to respond. The joint meeting must occur within the 30
working day period in the preceeding paragraph.
The chancellor must base his or her decision on a thorough review of (1)
the record evidence from the hearing and (2) the report of the committee. While the chancellor should give deference to
the advice of the faculty committee, the final campus-based decision is the
chancellor’s.
The
chancellor will inform the complainant of his or her decision in writing by a
method that produces adequate evidence of delivery. In the event of an adverse
decision, the chancellor's notice must inform the complainant: (1) that,
within 10 calendar days of the complainant's receipt of the decision, the
complainant may file a notice of appeal with the president requesting review by
the Board of Governors in accordance with the Board of Governors Policy
101.3.1, (2) that a simple written notice of appeal with a brief statement of
its basis is all that is required within this ten-day period, and (3) that,
thereafter, a detailed schedule for the submission of relevant documents will
be established if such notice of appeal is received in a timely matter. (
VI. Due Process Before Discharge or
Imposition of Serious Sanction
A. Penalties
A faculty member who is the beneficiary of institutional
guarantees of tenure shall enjoy protection against unjust and arbitrary
application of disciplinary penalties.
During the period of such guarantees, the faculty member may be
discharged or suspended from employment or diminished in rank only for reasons
of incompetence, neglect of duty, or misconduct of such a nature as to indicate
that the individual is unfit to continue as a member of the faculty. These
penalties may be imposed only in accordance with the procedures prescribed in
this section. For purposes of these
regulations, a faculty member serving a stated term shall be
regarded as having tenure until the end of the term. These procedures shall not apply to non-reappointment
(Section V) or termination of employment (Section VII).
B. Notice
Written notice of intent to discharge or to suspend from
employment or to diminish in rank (these penalties hereinafter in Section VI
are referred to as "the penalty") shall be sent by the vice
chancellor with supervisory authority or by the vice chancellor's designee to
the faculty member by a method that
provides delivery verification and is consistent with UNC Policy 101.3.3. The statement shall include notice of the
faculty member's right, upon request, to both written specification of the
reasons for the intended penalty and a hearing by the Due Process Committee
(Section VI.E.). (
C. Penalty Without
Recourse
If, within 10 working days after the faculty member receives
the notice referred to in Section VI.B. above, the faculty member makes no
written request for either a specification of reasons or a hearing, the faculty
member may be penalized without recourse to any institutional grievance or appellate
procedure.
D. Specification of
Reasons and Hearing Request
If, within 10 working days after the faculty member receives
notice referred to in Section VI.B. above, the faculty member makes a written
request to the vice chancellor with supervisory authority, method that provides delivery verification
and is consistent with UNC Policy 101.3.3, for a specification of
reasons, the vice chancellor with supervisory authority or the vice
chancellor's designee shall supply such specification in writing by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3, within 10 working days after
receiving the request.
A faculty member's request for a hearing is to be directed
to the vice chancellor with supervisory authority in writing by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3. Upon receipt of such a
request the vice chancellor with supervisory authority shall, within ten
working days, notify the chair of the Due Process Committee of the need to
convene a hearing in accordance with Section VI.F.1. If the faculty member makes no written
request to the vice chancellor with supervisory authority for a hearing within
10 working days after receiving the specification, the faculty member may be
penalized without recourse to any institutional grievance or appellate
procedures. (
E. Due Process
Committee
The Due Process Committee shall be composed of five members
and five alternates each of whom is a full-time, permanently tenured voting
faculty member without administrative appointment. Members shall be elected in accordance with
the procedures for election of appellate committees specified in the Bylaws of
the East Carolina University
When the committee is convened to consider any matter
associated with a faculty member's request for a hearing, those committee members
who hold an appointment in the faculty member's academic unit, those who might
reasonably expect to be called as witnesses, or those who may have any other
conflict of interest should disqualify themselves from participation in the
activities of the committee related to this specific request for a
hearing. The faculty member and the vice
chancellor with supervisory authority are permitted to challenge committee
members for cause. The other members of
the committee will decide on any potential disqualifications if a committee
member is so challenged but wishes to remain. (
When membership of the committee falls below the specified
five members and five alternates, the
Upon notification by the vice chancellor with supervisory authority
or the vice chancellor's designee that a faculty member has requested a
hearing, the chair of the committee shall determine the availability of the
elected members and alternates, and shall select from those available one or
more alternates, as necessary (see Part XI of the ECU Faculty Manual, UNC Code,
Section 603). The ranking of the
available alternates for selection shall be determined by their years of
service to the University. That
available alternate who is most highly ranked shall attend all sessions of the
hearing and shall replace a regular member should that member be unable to
attend the entire hearing. (
The committee may at any time consult with an attorney in
the office of the University Attorney who is not presently nor previously
substantively involved in the matter giving rise to the hearing, nor will
advise the University administrator(s) following the committee action(s). (See Part VIII, Responsibilities of
Administrative Officers.)
F. Procedures for the
Hearing
1. Time and
Date of Hearing
The Due Process Committee shall set the time, date, and
place for the hearing. The date for the
hearing must be within 30 working days of the time the committee receives the
vice chancellor with supervisory authority's notification of the faculty
member's written request for a hearing.
The committee shall notify the affected faculty member, the vice
chancellor with supervisory authority, and the chair of the faculty of the
time, date, and place of the hearing.
The committee may, upon the faculty member's written request and for
good cause, postpone the date of the hearing by written notice to the faculty
member.
2. Conduct of
Hearing
The hearing shall be on the written specification of reasons
for the intended penalty. The chair of
the Due Process Committee, or an
elected member of the committee if the chair is unavailable, is
responsible for conducting the hearing and for maintaining order during the
hearing. Except as provided for herein, the hearing shall be conducted according
to the latest edition of Robert's Rules
of Order, Newly Revised. Attendance at the hearing is limited to the
committee's members and alternates, the faculty member requesting the hearing,
counsel for the faculty member, the vice chancellor with supervisory authority,
and counsel for the vice chancellor. Other persons (witnesses) providing
information to the committee shall not be present throughout the hearing, but
shall be available at a convenient location to appear before the committee as
appropriate. For any hearing from which an appeal may be taken, a professional
court reporter must be used to record and transcribe the hearing. (
The hearing shall begin with an
opening statement by the hearing chair limited to explaining the purpose of the
hearing and the procedures to be followed during the hearing. Following the opening remarks by the hearing
chair, the vice chancellor with supervisory authority or his/her counsel shall
present the university's contentions and any supporting witnesses and
documentary evidence. The faculty member
or the faculty member's counsel may then reply and present any supporting
witnesses and documentary evidence.
During these presentations, the vice chancellor with supervisory
authority or his or her counsel, and the faculty member or his or her counsel,
may cross-examine opposing witnesses. Committee
members may question witnesses for purposes of
clarification. At the conclusion
of the hearing, the faculty member and then the vice chancellor with
supervisory authority will be given the opportunity to provide summary
statements. (
G. Procedures After
the Hearing
After the hearing, the committee shall meet in executive
session and begin its deliberations or shall adjourn for no more than two
working days, at which time it shall reconvene in executive session. In reaching its decisions the committee shall
consider only the testimony and other materials entered or presented as evidence
during the hearing.
Within 10 working days of finishing its deliberations the
committee shall provide the faculty member and the chancellor with a copy of
its report, including materials entered as evidence, and a copy of the court
reporter's transcript of the hearing. In
its report the committee shall state whether or not it recommends that the
intended penalty be imposed.
(
In reaching a decision, the chancellor shall consider only
the written transcript of the hearing and the report of the Due Process
Committee. Within 30 working days of
receiving the report, the chancellor's decision shall be conveyed in writing to
the Due Process Committee and the affected faculty member by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3.
H. Appeal
If the chancellor concurs in a recommendation of the
committee that is favorable to the faculty member, the decision shall be
final. If the chancellor rejects a
finding, conclusion, or recommendation of the Due Process Committee, the
chancellor shall state the reasons for doing so in a written decision. If the
chancellor either declines to accept a Committee recommendation that is
favorable to the faculty member or concurs in the committee recommendation that
is unfavorable to the faculty member, the faculty member may appeal the
chancellor's decision to the Board of Trustees.
This appeal shall be transmitted through the chancellor and
shall be addressed to the chair of the Board.
Notice of appeal shall be received by the chancellor within ten working
days after the faculty member receives the chancellor's decision. The appeal to the Board of Trustees shall be
decided by the full Board of Trustees; however, the Board may delegate the duty
of conducting a hearing to a standing or ad hoc committee of at least three
members.
The Board of Trustees, or its committee shall consider the
appeal on the written transcript of the hearing held by the Due Process
Committee, but it may, in its discretion, hear such other evidence as it deems necessary, with the opportunity for
rebuttal. The Board of Trustees'
decision shall be made within 45 working days after the chancellor has received
the faculty member's request for an appeal to the Trustees.
This decision shall be final except that the faculty member
may, within ten days after receiving the trustees' decision, file a written
petition for review with the Board of Governors if he or she alleges that one
or more specified provisions of the Code of The University of North Carolina
have been violated. Any such petition to the Board of Governors shall be
transmitted through the President, and the Board shall, within 45 working days,
grant or deny the petition or take such other action as it deems advisable. If it grants the petition for review, the
Board's decision shall be made within 45 working days after it notifies the
faculty member by a method that
provides delivery verification and is consistent with UNC Policy 101.3.3,
that it will review the petition.
The exercise of the Board of Governors’ jurisdiction is
refined to insure that primary emphasis remains properly focused on the campus
grievance procedures. Requests for
appellate review will be screened to determine whether the Board should
consider the issues raised in a petitioner’s request for review. The following basic standards will guide that
screening process:
1. The
Board will grant requests to review contentions that the grievance procedures
followed by the campus in a particular case did not comport with University
requirements that affect the credibility, reliability, and fairness of such
inquiries, thereby arguably depriving the grievant of a valid opportunity to
establish his or her contentions.
2. The
Board will grant requests to review University policy issues implicated by a
particular grievance, when the question appears to require intervention by the
governing board to clarify the definition, interpretation, or application of
such policies.
3. The
Board will review questions about the sufficiency of the evidence to sustain
the conclusion reached only if (a) the case involves a substantial interest of
the grievant, e.g., tenure or reappointment and/or (b) the history of the case
reveals disagreement, with respect to the sufficiency of the evidence to
sustain the grievant’s contentions, among the responsible decision makers,
i.e., the due process committee, the chancellor, or the board of trustees[12];
if the responsible decision makers are in accord, normally no such appeal will
be entertained by the Board of Governors.
Under the foregoing prescriptions, it is necessary for
prospective petitioners to evaluate their circumstances carefully, to
understand the purposes of permissible appellate review, and to formulate
clearly and concisely their statement of the one or more grounds on which they
believe the Board should exercise its appellate jurisdiction. Thus, the first step in any appeal to the
Board of Governors will be an evaluation by the Board, through a designated
subcommittee, with staff assistance, of the grievant’s written statement of
grounds for appeal, to determine whether the issues sought to be raised warrant
Board attention, as judged by the three basic standards.
I. Suspension During
a Period of Intent to Discharge
When a faculty member has been notified of the institution's
intention to discharge the faculty member, the chancellor may suspend the
faculty member at any time and continue the suspension until a final decision
concerning discharge has been reached by the procedures prescribed herein.
Suspension during a period of intent to discharge shall be exceptional and
shall be with full pay and benefits.
VII. Termination of Faculty Employment
A. Reasons Justifying
Termination and Consultation Required
1. Reasons for
Terminating Employment
The employment of a faculty member with permanent tenure or
of a faculty member holding a fixed-term or probationary appointment may be
terminated by East Carolina University because of (1) demonstrable, bona fide
institutional financial exigency, or (2) major curtailment or elimination of a
teaching, research or public service program.
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 academic administrative officers and faculties as required
by Section VII.A.2. below.
This determination is subject to concurrence by the President
and then approval of the Board of Governors. If the financial exigency or
curtailment or elimination of a program is such that the institution's
contractual obligation to a faculty member cannot be met, the employment of the
faculty member may be terminated in accordance with Section 605 of The Code of
The University of North Carolina and the institutional procedures set out in
subsection B below.
2. Consultation
with Faculty and Administrative Officers
When it appears that the institution will experience an
institutional financial exigency or when it is considering a major curtailment
in or elimination of a teaching, research, or public service program, the
chancellor or the chancellor's delegate shall forthwith prepare a report which
identifies specifically the state of financial exigency or the program change.
The report must outline the options readily apparent to the chancellor at the
time, including any options which would or might involve terminations of
faculty employment.
The chancellor's report shall be directed to the Educational
Policies and Planning Committee for their written advice and
recommendations. In considering this
report the Educational Policies and Planning Committee shall have access to information
on which the chancellor's report was based.
The Committee may interview appropriate persons. The Educational Policies and Planning
Committee shall prepare a report in response to the chancellor, to be submitted
at a time determined by the chancellor.
Should the chancellor decide, following receipt of the
Educational Policies and Planning Committee's report, to consider reducing a
unit's faculty for reasons of financial exigency or major curtailment or
elimination of a program, the chancellor shall promptly establish and convene an
ad hoc Faculty Advisory Committee to advise the chancellor regarding the
contemplated reduction.
Whenever such a Committee is created, it shall consist of
two members and two alternates elected by the unit; the unit's administrator as
an ex officio member; and four members and four alternates from disciplines
complementary to the unit, nominated by the University Committee on Committees
and elected by the
B. Termination
Procedures
1. Consideration
in Determining Whose Employment is to be Terminated
In determining which faculty member's employment is to be
terminated, the primary consideration of the chancellor and the ad hoc advisory
committee shall be the maintenance of a sound and balanced educational program
that is consistent with the functions and responsibilities of the
institution. Where no conflict with this
primary consideration exists, priority for retention shall be given the
permanently tenured faculty who are senior in years of service to the
University.
2. Timely
Notice of Termination
a. When
a faculty member's employment is to be terminated because of major curtailment or elimination
of a teaching, research, or public service program and such curtailment or
elimination of program is not founded upon financial exigency, the faculty
member shall be given timely notice as follows:
One who has permanent tenure shall be given not less than twelve months
notice; and one who does not have permanent tenure shall be given notice in
accordance with the requirements specified in Section II.C.
b. When
a faculty member's employment is to be terminated because of financial exigency, the institution will make
every reasonable effort, consistent with the need to maintain sound educational
programs and within the limits of available resources, to give the same notice
as set forth in the preceding paragraph.
3. Type of
Notice to be Given
a. Should
the chancellor decide to terminate employment following receipt of the report
of the Ad hoc Faculty Advisory Committee, the chancellor or the chancellor's
delegate shall send the faculty member whose employment is to be terminated a
written statement of this fact by a
method that provides delivery verification and is consistent with UNC Policy
101.3.3. This notice shall include a statement of the conditions
requiring termination of the faculty member's employment; a general description
of the procedures followed in making the decision; a disclosure of pertinent
financial or other data upon which the decision was based; a statement of the
faculty member's right, upon request, to a reconsideration of the decision by a
faculty committee if the faculty member alleges that the decision to terminate
employment was arbitrary or capricious; and a copy of this procedure on
termination of employment.
b. For
a period of two years after the effective date of termination of a faculty
member's contract for any of the reasons specified in Section VII.A.1., the
institution shall not replace the faculty member without first offering the
position to the person whose employment was terminated. The offer shall be sent by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3 to the address last furnished
to the chancellor's office, and the faculty member will be given thirty
calendar days after transmission of the notice in which to accept or reject the
offer. The offer to resume a terminated position shall provide for tenure
status, rank, and salary at least equal to those held by the faculty member at
the time of termination.
c. The
institution, when requested in writing by a faculty member whose employment has
been terminated, shall give reasonable assistance in finding other employment.
Such assistance shall include secretarial assistance, access to the telephone
(including long distance), University/unit stationary and postage, travel funds
to professional meetings, and other assistance as deemed reasonable and appropriate
in the profession.
4. Termination
if Reconsideration is Not Requested
If, within 10 working days after receipt of notice required
by Section VII.B.3 above, the faculty member makes no written request for a
reconsideration hearing, employment will be terminated at the date specified in
the notice given pursuant to Section VII.B.3, and without recourse to any
institutional grievance or appellate procedure.
5. Request for
Reconsideration Hearing
Within 10 working days after receiving the notice required
by Section VII.B.3, the faculty member may request by a method that provides delivery verification and is consistent with UNC
Policy 101.3.3 a reconsideration of the decision to terminate
employment, if the faculty member alleges that the decision was arbitrary or
capricious. The request shall be
submitted to the chancellor and shall specify the grounds upon which it is
contended that the decision to terminate employment was arbitrary or capricious
and shall include a short, plain statement of facts that the faculty member
believes support the contention.
Submission of such a request constitutes on the part of the faculty
member: (1) a claim that the contention
can be supported by representation of factual evidence, and (2) an agreement
that the institution may offer in rebuttal of the faculty member's contention
any relevant data within its possession.
Upon receipt of such a request the chancellor shall, within 10 working
days, notify the chair of the
Reconsideration Committee of the need to convene a hearing in accordance with
Section VII.B.7.
6. The
Reconsideration Committee
The Reconsideration Committee shall be composed of five
members and five alternates, each of whom is a full time permanently tenured
voting faculty member without administrative appointment. Members shall be elected in accordance with
the procedures for election of appellate committees specified in the Bylaws of
the East Carolina University
Upon organization, the members of the Reconsideration
Committee shall elect a chair and a secretary.
Should any committee officer be absent at the beginning of a hearing,
the committee shall elect an alternate officer for purposes of the
hearing.
When the committee is convened to consider any matter
associated with a faculty member's request for a hearing, those committee
members who hold an appointment in the faculty member's academic unit, those
who might reasonably expect to be called as witnesses, who participated
directly in the decision to terminate the faculty member's employment, or those
who may have any other conflict of interest should disqualify themselves from
participation in the activities of the committee related to this specific
request for a hearing. The faculty member and the chancellor or the
chancellor's representative are permitted to challenge committee members for
cause. The other members of the
committee will decide on any potential disqualifications if a committee member
is so challenged but wishes to remain.
When, between elections, membership of the committee falls
below the specified five members and five alternates, the chair of the faculty,
in consultation with the Committee on Committees, shall appoint members to the
committee. Vacancies on the committee will be filled by first moving alternates
to members and by making appointments as alternates.
Upon receipt of a request for a hearing, the chair of the committee
shall determine the availability of the elected members and alternates, and
shall select from those available one or more alternates, as necessary. The
ranking of the available alternates for selection shall be determined by their
years of service to the University. That available alternate who is most highly
ranked shall attend all sessions of the hearing and shall replace a regular
member should that member be unable to attend the entire hearing. The committee
may at any time consult with an attorney in the office of the University
Attorney who is not presently nor previously substantively involved in the
matter giving rise to the hearing, nor will advise the University
administrator(s) following the committee action(s). (See Part
VIII, Responsibilities of Administrative Officers.)
7. Procedures
for the Hearing
a. Time
and Date of Hearing
The Reconsideration Committee shall set the time, date, and
place for the hearing. The date for the
hearing must be within 30 working days of the time the committee receives the
chancellor's notification of the faculty member's written request for a
hearing. The committee shall notify the
affected faculty member, the
chancellor, and the chair of the faculty of the time, date,
and place of the hearing. The committee
may, upon the faculty member's written request and for good cause, postpone the
date of the hearing by written notice to the faculty member.
b. Conduct of Hearing
The Reconsideration Committee's review of the faculty
member's appeal shall be limited solely to determining whether the decision to
terminate employment was arbitrary or capricious. The chair of the Reconsideration Committee is
responsible for conducting the hearing and for maintaining order during the
hearing. Except as provided for herein,
the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. Attendance at the hearing is limited to the
committee's members and alternates, the faculty member requesting the hearing,
counsel for the faculty member, the chancellor or the chancellor's delegates
(hereinafter, the chancellor), and counsel for the chancellor. Other persons (witnesses) providing
information to the committee shall not be present throughout the hearing, but
shall be available at a convenient location to appear before the committee as
appropriate. The faculty member and the
committee shall be given access, upon request, to documents that were used in
making the decision to terminate the faculty member's employment after the
decision was made that the position must be terminated. For
any hearing from which an appeal may be taken, a professional court reporter
must be used to record and transcribe the hearing. (
The hearing shall begin with an opening statement by the
chair of the committee limited to explaining the purpose of the hearing and the
procedures to be followed during the hearing.
Following the opening remarks by the committee chair, the faculty member
or the faculty member's counsel shall present his or her
contentions and any supporting witnesses and documentary
evidence. The chancellor or the
chancellor's counsel may then reply and present any supporting witnesses and
evidence in rebuttal of the faculty members contentions or in general support
of the decision to terminate the faculty member's employment. During these presentations, the faculty
member or his or her counsel, and the chancellor or his or her counsel, may
cross-examine opposing witnesses.
Committee members may question witnesses for purposes of clarification. At the conclusion of the hearing, the faculty
member and then the chancellor or the chancellor’s counsel will be given the
opportunity to provide summary statements.
8. Procedures
After the Hearing
After the hearing, the committee shall meet in executive
session and begin its deliberations or shall adjourn for no more than two
working days, at which time it shall reconvene in executive session. In reaching its decisions the
committee shall consider only the testimony and other
materials entered or presented as evidence during the hearing.
Within 10 working days of finishing its deliberations the
committee shall provide the faculty member and the chancellor with a copy of
its report, including materials entered as evidence, and a copy of the court
reporter's transcript of the hearing. (
If the Reconsideration 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, the chair of the
faculty and the chancellor. The faculty
member may appeal the decision to terminate employment to the chancellor within
10 calendar days following receipt of the committee’s decision. (
If the Reconsideration Committee determines that the faculty
member's contention has been satisfactorily established, it shall so notify the
faculty member, the chair of the faculty, and the chancellor by a written
notice that shall also include a recommendation for corrective action by the chancellor.
Within 30 working days after receiving the recommendation,
the chancellor shall send written notice to the faculty member by a method that provides delivery verification
and is consistent with UNC Policy 101.3.3, with copies to the chair of
the faculty, and the chair of the Reconsideration Committee giving his decision
and stating what modification, if any, the chancellor will make with respect to
the original decision to terminate the faculty member's employment. If the chancellor fails to reverse the
original decision, the chancellor shall send written notice of such to the
faculty member by a method that
provides delivery verification and is consistent with UNC Policy 101.3.3,
with copies to the chair of the faculty, and the chair of the Reconsideration
Committee. The faculty member may appeal
the termination to the Board of Trustees within 10 calendar days following
receipt of the chancellor’s decision. (
The exercise of the Board of Trustees’ jurisdiction is
refined to insure that primary emphasis remains properly focused on the campus
grievance procedures. Requests for
appellate review will be screened to determine whether the Board should consider
the issues raised in a petitioner’s request for review. The following basic standards will guide that
screening process:
a. The
Board will grant requests to review contentions that the grievance procedures
followed by the campus in a particular case did not comport with University
requirements that affect the credibility, reliability, and fairness of such
inquiries, thereby arguably depriving the grievant of a valid opportunity to
establish his or her contentions.
b. The
Board will grant requests to review University policy issues implicated by a
particular grievance, when the question appears to require intervention by the
governing board to clarify the definition, interpretation, or application of
such policies.
c. The
Board will review questions about the sufficiency of the evidence to sustain
the conclusion reached only if (a) the case involves a substantial interest of
the grievant, e.g., tenure or reappointment and/or (b) the history of the case
reveals disagreement, with respect to the sufficiency of the evidence to
sustain the grievant’s contentions, among the responsible decision makers,
i.e., the reconsideration committee, the chancellor, or
the board of trustees[13];
if the responsible decision makers are in accord, normally no such appeal will
be entertained by the Board of Governors.
Under the foregoing prescriptions, it is necessary for
prospective petitioners to evaluate their circumstances carefully, to
understand the purposes of permissible appellate review, and to formulate
clearly and concisely their statement of the one or more grounds on which they
believe the Board should exercise its appellate jurisdiction. Thus, the first step in any appeal to the
Board of Governors will be an evaluation by the Board, through a designated
subcommittee, with staff assistance, of the grievant’s written statement of
grounds for appeal, to determine whether the issues sought to be raised warrant
Board attention, as judged by the three basic standards.
If the chancellor concurs in the recommendation of the
committee that is favorable to the faculty member, the decision is final and
written notification thereof shall be sent to the faculty member, the chair of
the faculty, and the chair of the Reconsideration Committee.
VIII. Effective Date
A. These
policies and regulations supersede all other institutional documents governing
the matters covered herein.
B. Except
as otherwise provided below, all provisions of these policies and regulations
shall become operative on the date they are approved by the President of the
These regulations as amended shall apply only to those
appeals following nonreappointments and nonconferrals of tenure in which the
original decision not to reappoint or not to confer permanent tenure was made
after the effective date of these regulations.
Regulations applicable to appeals following nonreappointment or
nonconferral of tenure in which the original decision not to reappoint or not
to grant permanent tenure was made prior to the effective date of these
regulations are those rules in effect at the time that the original decision
was made.
In
compliance with UNC Code 602(1) final approval of this document involves the
Approved
(entire document)
January 9,
2007
Erskine Bowles, President of UNC
System
Appendix F
I. The
Graduate Faculty
A. Functions and Jurisdictions
B. Membership
C. Meetings
D. Canvass
E. Voting Privileges
F. Implementation
II. The Graduate Assembly, the
A. Graduate Assembly
B.
C. Graduate Curriculum Committee
D.
III. Graduate
Student Advisory Council
A. Composition
B. Functions
IV. The
Dean
A. Functions and Jurisdiction
I. The
Graduate Faculty
- Functions and Jurisdictions
The graduate faculty exercises the authority within the
university for development of general policies and procedures for all graduate
courses and programs. The graduate faculty may modify this instrument, Graduate
School Organization, directly or through the concurrent approval of the Graduate
Assembly and the Graduate School Administrative Board.
- Membership
The following paragraphs address the general qualifications
for membership, rights, privileges and responsibilities, method of appointment,
and method of reappointment of each category of membership on the graduate
faculty and the methods of implementing these policies.
There are five types of membership in the graduate faculty.
They are (1)
graduate faculty member, (2) associate graduate faculty
member, (3) graduate teaching faculty member, (4) ex-officio graduate faculty
member, and (5) adjunct graduate faculty member.
Graduate Faculty Members. Qualifications for graduate
faculty members include:
·
The
highest earned degree in the field.
·
Demonstrated
evidence of success in research/creative activity.
·
Demonstrated
evidence of successful graduate teaching.
·
Demonstrated
evidence of successful supervision of research or creative activity, if
applicable. In some instances, extensive professional experience, high
productivity, or successful competition for research/creative activity support
may substitute for the highest degree.
Graduate faculty members are eligible to serve on the
Graduate Assembly, the Administrative Board of the Graduate School, the
Graduate Curriculum Committee, may teach graduate classes, may chair doctoral
or master's committees, and may be a member of doctoral or master's committees.
Code units may define additional criteria for eligibility to serve in doctoral
programs.
Appointment to the graduate faculty occurs as the result of
the following procedure. Upon recommendation of the graduate faculty of the
code unit (the procedure for which has been outlined as described under
Implementation, below), the appropriate unit administrator forwards a
nomination to the dean of the college or professional school, as appropriate,
and then to the dean of the
For individuals with permanent tenure, appointment to the
graduate faculty is for five years. At the end of the term, the appointment
shall be reviewed within the unit in the manner outlined for initial
appointments, except that the focus will be on the activity during the five
years immediately preceding the evaluation. If it is the opinion of the code
unit graduate faculty that the appointment should be renewed, the appropriate
unit administrator will add his/her opinion and submit the appropriate renewal
application to the dean of the College or professional school, as appropriate,
and then to the dean of the Graduate School who will review the application. To
be reappointed, it is not necessary for an individual to have participated in
all phases of graduate education. Individuals appointed to major administrative
assignments (department chairs or above) who are members or associate members
of the graduate faculty at the time of their appointment are exempt from the
renomination process until five years after the expiration of the
administrative appointment. Individuals with other administrative appointments
may be considered for a waiver by the Administrative Board of the
It is recognized that the process for awarding permanent
tenure involves the evaluation of the individual's research, teaching, and
service to the university over a substantial period of time as well as relevant
experiences at other universities. Therefore, recipients of permanent tenure
subsequent to the implementation of these policies by the graduate faculty are
eligible for appointment as a member of the graduate faculty if that person is
not already a member. To effect this appointment, it is the responsibility of
the code unit to notify the dean of the college or professional school, as
appropriate, and then the dean of the
For faculty on probationary appointments, the term on the
graduate faculty is coterminous with the length of that appointment or four
years, whichever is longer. Tenure track faculty will be renominated for the
graduate faculty as part of the contract renewal process immediately prior to
the expiration of the term on the graduate faculty. The appropriate dean or
chair will provide information on the faculty member's accomplishments during
the period to the appropriate graduate faculty in the unit and the nomination
process will proceed as outlined above.
Associate Graduate Faculty Members. Qualifications for associate
graduate faculty members include:
·
Highest
earned degree in the field.
·
Demonstrated
evidence of success or the potential for success in research/creative activity.
·
Demonstrated
evidence of successful graduate teaching or the potential of such success.
·
Demonstrated
evidence of successful supervision of research or creative activity or the
potential of such success, if applicable. In some instances, extensive
professional experience, high productivity, or successful competition for research/creative
activity support may substitute for the highest degree.
Associate graduate faculty members may serve as members of
the Graduate Assembly, may teach graduate classes, may chair doctoral or
master's committees, and may be a member of doctoral or master's committees.
Code units may define additional criteria for eligibility to serve in doctoral
programs. Code units must define criteria for associate graduate faculty
members to chair doctoral committees. All procedures for appointment and reappointment
as well as terms of office for the associate graduate faculty will be the same
as those for the graduate faculty members.
Graduate Teaching Faculty Members. Qualifications for graduate
teaching faculty members include:
·
Highest
earned degree in the field.
·
Professional
certifications or licensure as specified by the code unit.
·
Demonstrated
evidence of success or the potential for success graduate teaching.
·
Evidence
of professional growth, e.g., completion of continuing education, participation
in relevant seminars, or other professional activity. In some instances,
especially for clinical faculty, extensive professional experience, high
productivity, or successful competition for research/creative activity support
may substitute for the highest degree.
Graduate teaching faculty members may teach masters or
doctoral classes as appropriate for their background, certification, and
experience and may be the fourth member of a master's committee upon
certification of appropriate experience or expertise by the unit administrator.
All tenure-track faculty who hold the appropriate terminal
degree for the discipline in which they hold their appointments are deemed to
be members of the graduate teaching faculty upon their initial appointments.
Code units are responsible for notifying the dean of the college or
professional school, as appropriate, and the dean of the
Other appointments to the graduate teaching faculty are made
by the appropriate code unit administrator, the graduate faculty of the code
unit, and the dean of the
Adjunct Members. Persons not currently faculty
members at
Ex-officio Members. Administrators with
responsibilities for graduate programs who do not hold other appointments to
the graduate faculty will be appointed to an ex-officio membership commensurate
with background and experience and will hold that appointment for the duration
of their administrative appointment.
C. Meetings
The graduate faculty may meet in plenary session. Meetings
may be called by the chairperson, the Graduate Assembly, the Graduate School
Administrative Board, or upon petition of the graduate faculty as indicated
below (II,A.1.). Notice of a plenary session with time, place, and agenda will
be distributed to members of the graduate faculty at least a full week prior to
the meeting.
One-half or more of the graduate faculty will constitute a
quorum for purposes of transacting such business as appears on the printed
agenda. A simple majority of those graduate faculty members in attendance shall
govern unless decision to the contrary is made prior to a ballot. When a quorum
is not present at a called meeting, agenda items will be referred to the Graduate
School Administrative Board for action.
A plenary session shall be conducted according to the most
recent edition of Robert's Rules of Order. Minutes shall be kept and
distributed to all members of the university faculty not later than ten days
following the session.
D. Canvass
Business and opinion polls may be conducted through canvass
of the graduate faculty by the chairperson when approved by the Graduate School
Administrative Board. Ballots or other materials will be addressed to each
graduate faculty member and sent through campus mail or delivered by
messengers. To transact business through a canvass, at least one-half of the
total graduate faculty must return ballots. A simple majority shall govern
unless the Graduate School Administrative Board establishes a different
criterion when it approved a canvass.
When the graduate faculty is canvassed in this manner, each
ballot will provide space in which each member can indicate his or her
preference for a plenary session dealing with the issue to be decided. If 15
percent or more of the graduate faculty indicates preference for a session, the
canvass will be nullified; and a plenary session will be called.
E. Voting Privileges
Only graduate faculty members vote on university-wide issues
and serve on the Graduate Administrative Board of the
F. Implementation
Each code unit with a graduate program will develop a
procedure for obtaining faculty input to the process of nominating graduate
faculty and report this procedure to the Graduate School Administrative Board.
In addition, each code unit with a graduate program will examine the
educational objectives of their graduate degrees which were prepared for the
SACS accreditation and articulate the types of research, creative activity, or
other activities which are appropriate for graduate faculty in their
discipline. Each code unit will then submit its articulation to the
Administrative Board of the
Except as noted above for administrators and ex-officio
members, the status of all existing members of the graduate and associate
graduate faculty will be confirmed within five years of the approval of the
procedures and criteria
according to a process to be developed by the Graduate
School Administrative Board. These members may choose the year in which the
confirmation occurs within a five year period.
II. The Graduate Assembly, the
- Graduate Assembly
The Graduate Assembly shall include one graduate director
from each academic department in the Thomas Harriot College of Arts and
Sciences, the College of Education, the College of Business, the College of
Fine Arts and Communication, the College of
Health and Human Performance, the College of Human Ecology, the College
of Technology and Computer Science, the School of Allied Health Sciences, the
Brody School of Medicine, and the School of Nursing and a graduate student.
offering a graduate degree program and one member from the Graduate Student
Advisory Council. The dean of the
Membership in the Graduate Assembly shall be limited to
associate or full members of the graduate faculty who serve as graduate
directors in their respective unit. Appointment to the position of graduate
director shall be according to the unit code. There is no limit on service as a
member of the Graduate Assembly.
The responsibilities of the Graduate Assembly will include:
·
Implementing
·
Making
recommendations to the dean of the
·
Making
recommendations to the dean of the
The Graduate Assembly shall meet at least once a semester,
by call of the dean of the
B.
The Graduate School Administrative Board shall consist of
three representatives from the Thomas Harriot College of Arts and Sciences, two
from the
and Computer Science, the
The dean of the
The responsibilities of the Administrative Board will
include:
·
Election
of the membership of the Graduate Curriculum Committee
·
Approval
of all course proposals at the graduate level (5000 and above);
·
Approval
of all proposals for new degree programs and program tracks and changes in
existing degree programs;
·
Participation
in the review of all existing graduate programs;
·
Review
and approval of all admissions by exception, requests for exceptions to
transfer credit policy, and requests for exceptions to the time to degree requirements;
·
Review
of all unit appeals of negative decisions made by the Dean of the
·
Review
and development of Graduate School policy including requirements for admission,
retention of students, permissible course loads, transfer credit, grading,
thesis and dissertation requirements and examinations, and standards for
graduate faculty appointment.
·
Reporting
its actions to the Graduate Assembly.
A simple majority of the Graduate School Administrative
Board will
constitute a quorum.
C. Graduate Curriculum
Committee
The Curriculum Committee shall consist of seven graduate
faculty members from different graduate degree areas and one graduate student
nominated by the Graduate Student Advisory Council and elected by the Administrative Board of the
The committee will review proposals for new graduate
programs, new and revised courses, degree related catalog text changes, and
requests to delete, bank, and unbank graduate courses. The committee will make
recommendations for action to the Graduate School Administrative Board and is
empowered also to make recommendations to the Graduate Assembly and to the
D.
This instrument, Graduate School Organization, may be
altered by a majority vote of both the Graduate Assembly and the Graduate
School Administrative Board.
III.
Graduate Student Advisory Council
A. Composition
The Graduate Student Advisory Council shall be composed of
currently enrolled graduate student representatives from each professional
school and from each department in the
- Functions
1. The advisory council shall elect
co-chairpersons from its membership who shall in turn serve on the Graduate
Assembly .
2. The advisory council shall serve as
a student liaison between the
3. Dates of meetings are set and the
council develops agenda.
IV.
The
Dean
- Functions and Jurisdiction
The dean shall be the chief executive officer of the
The dean shall be responsible for the implementation and
execution of policies, rules, regulations, and procedures established by the
graduate faculty and the Graduate School Administrative Board. He or she is
expected to articulate both the current status and the short-term and long-term
concerns and objectives of graduate education at the university and to offer
timely and appropriate recommendations for its improvement and greater
efficiency in meeting the needs of its constituents.
The dean shall be responsible for the operation of the
The dean shall develop procedures for consultation with
other units of the university and extramural academic, professional,
governmental, and community groups.
__________________
Approved: 22 August 1977
Amended: 17 October 1994
20
April 1998
28
January 2002
4 February 2002 Graduate Assembly
22
September 2003
29
September 2003 Graduate Assembly
APPENDIX I
EAST
CONTENTS
I. Introduction
II. The Concepts at Issue
III. Policies
A.
Conflict of Interest
B.
Conflict of Commitment
IV. Categories and Examples of Potential
Conflicts
V. Submission of Conflict Evaluation Forms
(Disclosures)
VI. Review and Approval of Activities and
Plans for Eliminating or Managing Conflicts
VII. Institutional Conflict of Interest
VIII. Enforcement of the Policies
IX. Definitions
Example Forms:
A. Annual Faculty/Professional Staff Disclosure
Form of Potential Conflict of
Commitment
or Interest Activities or Relationships.
B. Report of Activities and Relationships with
Enterprises Sponsoring University Activities or Doing Business with the
University.
C. Report of Potential Conflicts of Interest
Related to Students’ Activities with External Enterprises.
D. Report of Potential Conflicts of Interest
Related to Teaching and Ownership of Intellectual Property.
E. Notice of Intent to Engage in External
Professional Activities for Pay.
I. Introduction
Effective
July 1, 1995, all EPA faculty members and other professional staff of
II. The Concepts at Issue
The
distinction between conflicts of interest and commitment is not always clear.
In general, conflict of commitment relates to allocation of time and should
become apparent in the annual review process conducted by the administrative
superior. Conflict of interest involves matters which might unduly influence
employee judgment in the conduct of employee affairs, such that personal
financial advantage is or might be unduly gained.
More
specifically, conflict of interest occurs when related personal considerations,
e.g., employment of a spouse,
potentially compromise the faculty or professional staff member's
objectivity in fulfilling University duties or responsibilities, including
research activities. Conflict of commitment occurs when the pursuit of outside
activities involves an expenditure of time that potentially interferes with the
faculty or professional staff member's obligations to students, to colleagues,
and/or to the missions of the University.
The
goal of this policy is to ensure that all potential conflicts of interest or
commitment are disclosed so that appropriate administrative interventions may
eliminate, avoid, or manage them. These
policies, however, are not intended to limit responsible external
activities.
III. Policies
A.
Conflict of Interest
It
is the policy of the University that faculty and EPA non-faculty shall avoid
conflicts of interest that have the potential to affect adversely the
University's interests, to compromise objectivity in carrying out University
responsibilities, or otherwise to compromise the performance of University
responsibilities. Accordingly, outside activities and financial interests must
be disclosed on an annual basis. Disclosures must be updated when new external
interests develop. Outside activities and financial interests should be
arranged to avoid such conflicts. Related policies are also discussed in the
ECU Faculty Manual, Part
VII. Research Information.
B.
Conflict of Commitment
It
is the policy of the University that faculty and EPA non-faculty employees
shall devote their primary professional loyalty, time, and energy to their
teaching, research, service, and, where applicable, patient care at the
University. Accordingly, outside activities and financial interests must be
arranged to avoid interference with the primacy of these commitments. Policies and Procedures for those potential
conflicts of commitment situations that do not involve conflict of interest are
discussed in the ECU Faculty Manual, Part VI, General Personnel Information.
The policy on External Professional Activities of Faculty and Other
Professional Staff should be used for these potential conflicts of commitment situations.
IV. Categories and Examples of
Potential Conflicts
Activities
that may involve conflicts of interest or commitment fall into three general
categories that differentiate relationships according to potential for adverse
impact.
Category
I: consists of relationships that, while including some that are conflicts in a
technical sense, are allowable because they do not compromise the objectivity
of research results or other interests of the University, the sponsor, or the
public. These relationships are generally minimal in their personal financial
impact, and otherwise do not represent a potential source of bias.
Category
II: consists of relationships that may be permissible following disclosure and,
where necessary, the initiation of supervisory procedures designed to preclude
bias or other inappropriate actions and to ensure the maintenance of academic
standards and institutional integrity.
Category
III: consists of relationships that presumptively may be inappropriate for a
faculty member or EPA non-faculty employee. In such cases, the individual must
demonstrate to the University's satisfaction the compatibility of such
practices with University policy prior to going forward with the proposed
activity.
Provided
below are representative, but not all-inclusive, examples of activities in each
of these three categories. Please refer to Section IX below for important
definitions.
Category
I:
Activities
that are routinely allowable and are not required to be disclosed pursuant to
this policy.
a)
Receiving royalties for published scholarly works and other
writings or for inventions pursuant to the University's Patent and Copyright
Policies (Faculty Manual, Part VII, Research Information).
b)
Membership in and service to professional associations and learned
societies; membership on professional review or advisory panels; presentation
of lectures, papers, concerts or exhibits; participation in seminars and
conferences; reviewing or editing scholarly publications and books; and service
to accreditation bodies are permitted under the ECU Policy Statement on
External Professional Activities of Faculty and other Professional Staff
(Faculty Manual, Part VI, General Personnel Information) so long as they do not
conflict or interfere with the timely performance of primary University duties.
These activities are permitted even if they are performed for nominal honoraria
or reimbursement of expenses, provided that the receipt of nominal honoraria or
reimbursement of expense is not in conflict with any other applicable University,
state, or federal policy, rule or regulation. These activities are not required
to be disclosed in this Policy's Annual Faculty/Professional Staff Disclosure
Form. However, a "Notice of Intent to Engage in External Professional
Activity" may be required pursuant to ECU's policy (Faculty Manual, Part
VI, General Personnel Information).
c)
Ownership of or equity in a corporation used solely for the
individual's consulting activities provided such consulting activities are
appropriately reported and approved in accordance with Faculty Manual, Part VI,
General Personnel Information, External Professional Activities of Faculty and
Other Professional Staff.
Category
II:
Activities
that may be allowable following disclosure and, where necessary, the implementation
of monitoring procedures.
a)
Participating in University research (basic, applied, and
clinical) on a technology developed by that individual or a member of his of
her immediate family, unless the activity is specifically disallowed under the
guidelines of Category III.
b)
Participating in University research involving a technology owned
by or contractually obligated (by license, option or otherwise) to a business
in which the individual or immediate family has a consulting relationship.
c)
Receiving through contract or gift University sponsored research
support (whether in dollars or in kind) for research from a business in which
the individual or immediate family has a consulting relationship.
2.
External Activities
a)
Serving on the board of directors or scientific advisory board of
a business from which that individual or immediate family receives
University-sponsored research support or with which the University has a
substantial contractual relationship known to the individual, unless the
activity is specifically disallowed under the guidelines of Category III.
b)
Assuming an executive position in a not-for-profit business with
which the University has a substantial contractual relationship known to the
individual and which is engaged in commercial or research activities in a field
related to the individual's University responsibilities, unless the activity is
specifically disallowed under the guidelines of Category III.
3.
Ownership
a)
Possessing a significant financial interest, including a
significant consulting relationship, in a business that competes with the
services provided by the University as a part of their academic, research, or
service mission.
b)
Possessing a significant financial interest, including a
significant consulting relationship, in a business field related to the
individual's University responsibilities, unless the activity is specifically
disallowed under the guidelines of Category III.
c)
Requiring or recommending one's own textbook or other teaching
aids, materials, or equipment to be used in connection with University programs
or those of immediate family. Such a requirement or recommendation must be
preceded by disclosure and review according to this policy.
4.
Other
a)
Acceptance by the University employee or immediate family of other
than nominal gratuities or special favors from one whom the individual knows is
doing business with or proposing to do business with the University.
b)
Engaging in any other activity that has the potential for creating
a conflict of interest or commitment as defined herein.
Category
III:
Activities
that are presumptively not allowable.
Many of the examples below may seem to overlap examples in Category II
above; however, the addition of ‘significant financial interests’ in the
activities below creates the presumption that these activities are not
allowable.
1.
Research Activities
a)
Participating in University research involving a technology owned
by or contractually obligated (by license, option, or otherwise) to a business
in which the individual or immediate family holds significant stock or similar
significant ownership interest, or has any other significant financial
interest, other than a receipt of University-sponsored research support, or
receipt of royalties under University royalty sharing policies.
b)
Receiving, through contract or grant, University sponsored
research support (whether in dollars or in kind) for research from a business
in which the individual or immediate family holds a significant stock or
similar significant ownership interest or has any other significant financial
interest.
c)
Assigning students, postdoctoral fellows or other trainees to
University projects sponsored by a for-profit or not-for-profit business in
which the individual or immediate family has a significant financial interest,
including a significant consulting relationship.
2. External Activities
a)
Assuming an executive position in a not-for-profit business with
which the University has a substantial contractual relationship known to the
individual and which is engaged in commercial or research activities in a field
related to the individual's University responsibilities.
b)
Making referrals of University business to an external business or
professional office in which such individual or immediate family has a
significant financial interest, including a significant consulting
relationship.
c)
Associating one's name or one's work with an external activity in
such a way as to profit monetarily by trading on the reputation or good will of
the University or to imply sponsorship or endorsement by the University. An
example of a context in which such an association might occur is external
professional activity for pay. Mere identification of the University as the
employer of the individual and of the individual's position at the University
is permitted by this section, provided that such identification is not used in
a manner that implies sponsorship or endorsement by the University.
3.
Public Disclosure
a)
Publishing or formally presenting University sponsored research
results, or providing expert commentary on a subject, with out simultaneously
disclosing any significant financial interest relating to such results or such
subject.
b)
Unauthorized use of privileged information acquired in connection
with one's University responsibilities to further one's own personal interests.
4.
Administrative Responsibilities
a)
Taking administrative action in the course and scope of University
responsibilities that is beneficial to a business in which the individual or an
immediate family member has a significant financial interest, including a
significant consulting relationship.
b)
Influencing the negotiation of contracts between the University
and an outside organization with which the individual or an immediate family
member has a significant financial interest, including a significant consulting
relationship.
5.
Committee Participation
a)
Serving on a committee of a governmental agency or private entity
during the consideration by such a committee of the regulation or application
of a technology that is owned by or contractually obligated to a business in
which that individual or immediate family has a significant financial interest,
including a significant consulting relationship.
V. Submission of Conflict Evaluation Forms
(Disclosures).
Policy: Effective July 1, 1995, each faculty member
and all other EPA employees will be required to disclose annually for both
him/her selves and their immediate families (see definition in Section IX) the
extent of their relevant external activities and relationships and their
financial holdings that are related to the employee’s university
activities. These university activities
include but are not limited to sponsored research activities. These external
activities, relationships and financial holdings are described above in Section
IV under Categories II & III. All potential Category II and III
relationships or financial holdings must be reported regardless of the dollar
amounts involved. Category I activities
and relationships are not required to be disclosed under this policy; however,
other university reporting requirements may apply to these activities (see
Section IV). Where there is some
question whether an activity should be considered a Category I or II activity
as described above, the faculty/EPA non-faculty employee should include the
activity in the disclosure for consideration by his/her supervisor.
All
faculty and other EPA personnel are charged by the University to provide a full
good faith disclosure. Failure to
provide such a full disclosure may be considered a serious breach of this
policy and may be cause for disciplinary action (see Section VIII).
Revisions or updates of the yearly disclosures
are required between yearly disclosures whenever there is a significant change
in the faculty member’s or his immediate family’s affairs that may lead to or
may be perceived to lead to a conflict with the faculty member’s university
activities, e.g., the faculty member’s spouse begins to receive consultant fees
from a company that currently contracts with university for research services
from the faculty member’s laboratory.
Procedures: To facilitate disclosure and to ensure
appropriate uniformity across the University, each individual will complete the
"Annual Faculty/Professional Staff Disclosure Form." Each unit
administrator will distribute this form annually to all faculty and
professional staff (EPA non faculty) under his or her supervision and assure
that completed forms are returned.
The
purpose of this form is to identify employees' activities that may lead to
actual or potential conflicts of commitment or interest so that appropriate
administrative intervention may address the problems. The employee and the
administrative superior are to complete and sign the annual disclosure form,
which implies that the administrative superior has reviewed the form. No
further action will be required if all questions are answered "no".
Further
disclosure and review are required if questions elicit any "yes"
responses on the Annual Faculty/Professional Staff Disclosure Form or on any
mid year revisions or updates of the annual form. The employee must then
complete and sign the appropriate additional forms. Suggested provisions or
plans for eliminating or managing conflicts should be included in these
additional forms where indicated. Examples of some (but not all) possible
provisions for conflict management plans are:
1.
Public disclosure of the significant financial interests or external activities
2.
Monitoring of activities by disinterested university officials to assure that
conflicts do not arise.
3.
Cessation of the pertinent outside activities
4.
Divestiture of the pertinent financial interests
5.
Severance of the relationships that create actual or potential conflicts
Since
these forms have direct bearing on the employment of individuals with the
University, all disclosure forms (the annual form and accompanying forms) and
associated documents will be maintained in the administrative office of the
employee's unit in his/her personnel folder for a period of at least three
years following termination of the pertinent activities.
VI. Review and Approval of Activities and Plans for
Eliminating or Managing Conflicts.
The
unit administrator (chair, dean, or the employee's supervisor in the case of a
senior administrator) has the initial responsibility to review and approve or
disapprove the disclosure forms filed with him or her by the EPA employees
within that unit. The review shall follow the provisions of this Policy. The Unit administrator should be familiar
with the definition of ‘Significant Financial Interest’ (See Section IX) to
differentiate between Category II and Category III activities and
relationships. Category III activities
are presumptively considered to be non-allowable.
The
unit administrator may refer any question regarding an annual disclosure form
to the next higher administrative level for review and decision and must refer
to the next higher level for review and approval all annual disclosures (and
updates/revisions) which require additional forms (as described in the annual
disclosure form) for EPA employees involvement in possible Category II and III
activities as described above.
If
a potential conflict is determined to exist, written plans for eliminating or
managing the conflict will be developed in consultations between the employee
and his/her supervisors and presented to the Vice Chancellor of the appropriate
division for concurrence. It will then be presented to the ECU Research
Ethics Oversight Committee (see below) for final approval. An adverse decision of the Committee to a
proposed management plan may be appealed to the Chancellor. The supervisor of the EPA employee
will be responsible for assuring the implementation and/or monitoring of the
conflict management plan.
Documentation
of all decisions on activities and associated conflict management plans will be
maintained in the employee's personnel folder.
In
order to fulfill the certification requirements of grant and contract funding
agencies (e.g., the NIH and NSF), each unit administrator shall also provide
annually to the Vice Chancellor for Research and Graduate Studies a list of all
faculty members and EPA staff in the administrator's unit who have submitted
approved current annual disclosure forms and, where needed, an indication when
such approval required development of an acceptable conflict management plan.
This list may be amended as needed during the year. The
Vice
Chancellor for Research or his designee will use this information to certify to
potential funding agencies that this Institution has a conflict of interest
policy consistent with NIH and NSF guidelines and that to the best of our
knowledge all provisions of the policy have been followed with respect to
proposals submitted to the agencies by ECU faculty and staff.
If
after initial review by the department head, dean, and vice chancellor,
questions remain regarding ethical issues or if disagreement exists between the
EPA employee and the administration regarding the permissibility of activities,
the situation may be referred to a faculty/administrative advisory committee
for review of conflicts of interest and commitment. This committee, the Research Ethics Oversight Committee,
will be chaired by the Vice Chancellor for Research & Graduate Studies and
will have representatives from the faculty senate as members. When the committee reviews conflict
management plans, a representative of university attorney's office shall be
present. In addition, when a management
plan involves graduate students, a representative from the graduate council
will also be present. Other appropriate individuals will be appointed members
to the committee by the Vice Chancellor for Research & Graduate Studies.
Decisions by this committee will be presented to the Chancellor for his or her
concurrence and, if approved, will become the University's final position
subject only to appeal in accordance with Section 501C(4) of The Code of the
If
the activity at issue involves external support (grant, contract or cooperative
agreement), the vice chancellor for research shall inform the sponsor whenever
the University determines that it is unable to develop a satisfactory conflict
management plan for an actual or potential conflict of interest.
Whenever human subjects are involved in
an activity presented to the Research Ethics Oversight Committee (including
approvals of conflict management plans), the University & Medical Center
Institutional Review Board (UMCIRB) will be confidentially notified of the issue
and the Committee’s actions.
VII. Institutional Conflict
of Interest
1.
At the beginning of each calendar year,
the Director, Office of Technology Transfer shall prepare a disclosure listing
all profit-making entities in which the University has a significant financial
interest (See Section IX.4). This disclosure shall be updated during the year
as new relations develop and old ones terminate. This disclosure and its updates will be
submitted to the Vice Chancellor for Research and Graduate Studies who shall
distribute the disclosure to the Chancellor, the other Vice Chancellors and
Deans, and the Research Ethics Oversight Committee. Copies of the disclosure
and updates shall also be distributed to those university administrative
offices charged with approving and administering grants and contracts and human
subjects research protection (Office of
Sponsored Programs, Office of Grants and Contracts Administration and the
UMCIRB).
2.
Units submitting proposals for external
funding to commercial entities may not be aware of possible institutional
conflict of interest issues. Thus, the
Office of Sponsored Programs shall have the primary responsibility of notifying
Vice Chancellor for Research and Graduate Studies and the submitting unit of
the University’s conflict of interest as part of its regular procedures for the
review and approval of such applications.
The Vice Chancellor or his designee shall then develop a plan to manage
the institutional conflict of interest after consultation with the submitting
unit and other relevant university offices.
The conflict management plan shall be submitted to the Research Ethics
Oversight Committee for review. The
Committee may approve the plan (with or without mandatory changes) or
disapprove the plan. University
acceptance of grants and contracts related to a management plan is contingent
upon approval of the management plan by the Committee. A negative decision of the Committee may be
appealed to the Chancellor. An
institutional conflict management plan may range from a simple disclosure of
the University’s interest in publications and reports emanating from the grant
or contract to complete University divestiture of the financial interest. The
institutional conflict of management plan shall be separate from and in
addition to any conflict management plans for conflicts of interests of
individuals (e.g., the principal investigator) involved in the grant or
contract.
3.
When considering an institutional
conflict of interest management plan, the Research Ethics Oversight Committee
shall a) include as voting members, one or more individuals from the general
public who have no direct or indirect relationship with the University, i.e.,
the individuals and their spouses or other dependents must not be current
employees or students of the University; and b) recuse from the deliberations
of the Committee any ECU member of the Committee who has been involved in the
negotiation, approval, or implementation of the relationship that is the basis
of the actual or perceived conflict of interest. The general public members of the Committee should be individuals that have
sufficient education or experience to understand both the issues before the
Committee and the possible impacts of the Committee’s decisions on the general
public.
4.
Arrangements for plan implementation and
oversight shall explicitly be part of an institutional conflict management
plan. Implementation and oversight will
usually be the joint responsibility of the submitting unit and the Office of
the Vice Chancellor for Research and Graduate Studies. However, other arrangements shall be made for
plan implementation and oversight if, in the judgment of the Research Ethics
Oversight Committee, such arrangements are necessary for the effective
management of the conflict.
Excluded Relationships: A relationship with a profit making
organization for the purposes of this institutional conflict of interest policy
shall not include ordinary investments of the university’s endowment that are
managed by the Board of Trustees of the Endowment Fund or ordinary
client-vender relationships where the University contracts for specific goods
or services from a profit-making organization.
III.
Enforcement of the Policies
Faculty
and non-faculty EPA staff are under a clear obligation to adhere to the ECU
policies and procedures to disclose and to remove or appropriately manage
conflicts of interest or commitment. Breaches of the policy/procedures will be
viewed as serious ethical violations by the persons involved. Possible breaches
of the policy/procedure include, but are not limited to:
1.
furnishing false, misleading or incomplete information on the disclosure forms;
2. failure to promptly
update disclosure forms before the required annual update when a significant
change in a person's financial or fiduciary status places the individual into
an immediate potential conflict of interest or commitment situation;
3. failure to comply
with the procedures described above (e.g., refusal to respond to inquiries,
responding with incomplete or knowingly inaccurate information, or otherwise);
4.
failure to remedy conflicts as determined by the Procedures; and
5.
failure to comply with a prescribed monitoring plan.
If
a possible breach in the policy/procedures occurs, the appropriate dean shall
consult with the faculty person and his chair. If no resolution is forthcoming,
the dean shall refer the case to the appropriate vice chancellor. The vice
chancellor shall consult with the vice chancellor for research and shall
initiate an investigation and/or hearing as prescribed in Faculty Manual, Part
VII and Appendix D and apply sanctions as determined by university policies.
Such sanctions may range from administrative intervention to dismissal from
employment, all in accordance with applicable university policies.
IX. Definitions
1. "Business"
means any corporation, partnership, sole proprietorship, firm, franchise,
association, organization, holding company, joint stock company, receivership,
business or real estate trust, or any other legal entity organized for profit
or charitable purposes. "Business" excludes University-related entities,
which is inclusive of the University, and any private medical practice or any
other entity controlled by, controlling, or under common control with the
University or with which the University has a contractual relationship for the
purpose of providing patient care.
2. "Executive Position" refers to any
position that includes responsibilities for a material segment of the operation
or management of a business, including Board membership .
3. The
" Immediate Family" of a faculty or EPA non-faculty employee includes
his or her spouse, dependent children and/or other dependent(s) as defined in
the Internal Revenue Code.
4.
"Significant Financial Interest" means anything of monetary value,
including but not limited to, salary or other payments for services (e.g.,
consulting fees or honoraria); equity interests (e.g., stocks, stock options or
other ownership interests); and intellectual property rights (e.g., patents,
copyrights, license agreements, and royalties from such rights). The term does not include:
(1)
Salary, royalties, or other remuneration from
(2)
Income from seminars, lectures, or teaching engagements sponsored
by public or nonprofit entities;
(3)
Income from service on advisory committees or review panels for
public or nonprofit entities;
(4)
An equity interest that when aggregated for the faculty/staff and
the faculty/staff’s immediate family, meets both of the following tests: Does
not exceed $10,000 in value as determined through reference to public prices or
other reasonable measures of fair market value, and does not represent more
than a five percent ownership interest in any single entity;
(5)
Salary, royalties or other payments that when aggregated for the
faculty/staff and the faculty/staff's immediate family over the next twelve
months, are not expected to exceed $10,000 from any one source.
(6)
Mutual, pension, investment or other funds over which the employee
or the University does not exercise direct control.
5. "Participate" means to be part of the
described activity in any capacity, including but not limited to serving as the
principal investigator, co-investigator, research collaborator or provider of
direct patient care. The term is not intended to apply to individuals who
provide primarily technical support or who are purely advisory, with no direct
access to the data (e.g., control over its collection or analysis) or, in the
case of clinical research, to the trial participants, unless they are in a
position to influence the study's results or have privileged information as to
the outcome.
6. "Sponsored
Programs" means research, public service, training and instructional
projects involving funds, materials, or other compensation from outside sources
under grants, contracts, or cooperative agreements.
7. "Technology" means any process,
method, product, compound, drug, device, or any diagnostic, medical, or
surgical procedure developed using University time, facilities, equipment, or
funds whether intended for commercial use or not.
Example
Forms A-E are available online at
http://www.ecu.edu/cs-acad/fsonline/customcf/facultymanual/appendixi/appendixi.htm
Approved:
15 March
1996
Board of
Governors of The
Amended: Faculty
Senate Resolution #02-17, April 2002
July
20, 2002
Office of
the President of The
APPENDIX J
INFORMAL FACULTY GRIEVANCE PROCEDURE
FOR GRIEVANCES INVOLVING SEX DISCRIMINATION AND OTHER EQUAL EMPLOYMENT
CONTENTS
I. Preamble
II. Steps in the Faculty Informal
Grievance Procedure
A. Discussion
with the Department Chairperson
B. Discussion
with the Dean
C. Conference
with the Vice Chancellor for Academic Affairs or the
Vice Chancellor for
Health Sciences and Dean of the
D. Appeal
to the Director of Equal Opportunity Programs (Title IX
Compliance Officer)
I. Preamble
In the belief that faculty and faculty supervisors do not
intentionally discriminate on the basis of the above factors, most grievances
can and routinely should be resolved in an informal manner. If the grievance
cannot be resolved informally, the aggrieved faculty member should register his
or her complaint with the Faculty Grievance Committee and request a formal
hearing on the grievance. Procedural rules of the
II. Steps in the Faculty Informal
Grievance Procedure
If any faculty member has a grievance with regard to his or
her employment relationship with the university alleging discrimination on the
basis of race, color, national origin, religion, veteran’s status, gender, age,
sexual orientation, political affiliation, or disability, he or she should
comply with the following procedure. (
A. Discussion
with the Department Chairperson
1. The
faculty member should make an appointment with the departmental chairperson. At
the time of making the appointment, the faculty member should state expressly
the need to discuss a sex discrimination grievance or the equal opportunity
grievance related to faculty employment status.
2. The
initial complaint may be made to the chairperson in writing as a matter of
record if the faculty member so desires. However, this is not necessary to
initiate a complaint by the informal grievance procedure.
3. The
chairperson will set an appointment date with the faculty member as soon as
possible after receiving the request; but, in any event, within three working
days after the request, the grievance will be discussed with the faculty member.
The departmental chairperson should freely discuss the nature of the faculty
member's complaint in a relaxed and informal manner making every effort to take
the corrective action necessary in resolving the grievance to the satisfaction
of the involved parties. The faculty member will be advised of the corrective
action and/or decision of the chairperson within three working days subsequent
to the conference.
B. Discussion
with the Dean
(
1. If
the faculty member's grievance is not resolved satisfactorily in conference
with the chairperson, the grievance should be taken to the appropriate dean for
further evaluation and consideration. The faculty member should notify the dean
of the desire to discuss the equal opportunity grievance within two working
days after receipt of the decision of the departmental chairperson. The dean
will respond to the request for an appointment and discuss the grievance with
the faculty member within three working days after receipt of such request.
2. If
the initial grievance was made in writing to the chairperson, then the written
complaint should be presented to the dean at the time the request is made for
the conference appointment. Additionally, the chairperson should present in
writing to the dean the findings and the basis for the decision at the time of
the initial conference with the chairperson. The written response of the
chairperson is not required unless the faculty member initially presented the
grievance in writing.
3. The
dean's conference should be conducted in a relaxed and informal manner with the
faculty member. The dean should invite the chairperson to participate in this
conference if deemed desirable or appropriate or if the presence of the chairperson
is requested by the faculty member. The dean should make every effort to take
the corrective action necessary in resolving the grievance to the satisfaction
of the involved parties. The corrective action and/or decision of the dean will
be made and the faculty member notified within three working days subsequent to
the conference.
C. Conference
with the Vice Chancellor for Academic Affairs or the Vice Chancellor for Health
Sciences and Dean of the
1. If
the faculty member's grievance is not resolved satisfactorily in the preceding
step(s), the grievance should be taken to the vice chancellor for academic
affairs or the vice chancellor for health sciences and dean of the
2. If
the initial grievance was made in writing to the chairperson, then the written
complaint should be presented to the appropriate vice chancellor at the time
the request is made for the conference appointment.
Additionally, the appropriate dean (in case of academic
affairs division) or chairperson (in case of the
3. The
conference with the appropriate vice chancellor should be conducted in a
relaxed and informal manner. The vice chancellor should invite the dean (or
chairperson in the case of
D. Appeal to the
Director of Equal Opportunity Programs (Title IX Compliance Officer)
1. If
the grievance is not resolved to the satisfaction of the faculty member by the
vice chancellor for academic affairs or vice chancellor for health sciences and
dean of the
2. The
director of equal opportunity will review the case in its entirety,
interviewing any and all witnesses deemed necessary, including, where deemed
appropriate, a conference of all parties involved with the grievance and prior
decisions made in an effort to resolve the grievance.
3. The
director will render an opinion within five working days after receipt of the
appeal. The decision of the director will be final and will terminate the
faculty member's rights pursuant to the informal grievance procedure.
4. If
the decision and/or corrective action taken by the director is not satisfactory
to the faculty member, he or she should file within thirty days subsequent to
the action of the director a grievance with the Faculty Grievance Committee
requesting a formal hearing pursuant to that committee's procedures for
formally addressing and hearing grievances. The hearing of the Faculty
Grievance Committee will be conducted in accordance with the procedures set
forth in the ECU Faculty Manual, Appendix Y, Grievance Policies and Procedures of ECU. Conclusion of the
formal hearing before the Faculty Grievance Committee and appeal of the
recommended action of the committee to the chancellor will exhaust the
administrative remedies of the faculty member.
Approved:
17 March 1994
Amended:
6 October
2003
APPENDIX L
EAST
CONTENTS
Preamble
A. Voting Faculty Member
B. Appointment of Administrative Officials
C. Development, Screening, and
Implementation of Unit Codes
D. Code Unit Changes
E. Five-Year Unit Program Evaluation
F. Quadrennial Unit Administrator
Evaluation
G. Annual Evaluation of University Administrators
Preamble
In order to
establish a mutual understanding which produces an essential joint effort in
the government of
A. Voting Faculty Member
[Please refer to interpretations #00-13,
#I98-9,
#I96-6,
and #I94-3.]
As pertains to faculty voting for the unit's nominating
committee for appointment of administrative officials, for making
recommendations on code content to the permanently tenured unit faculty
members, in quadrennial evaluations of the effectiveness of unit programs, and
in quadrennial evaluations of the effectiveness of unit administrators, a
voting faculty member is someone who is appointed to a full‑time faculty
position; who is a permanently tenured or probationary term faculty person; who
has been employed in any faculty position for at least 12 consecutive months at
The teaching/research requirement does not apply to unit
administrators, librarians, or other university officers who may hold tenured
positions in home units. Voting rights within individual units on matters
addressed in their codes, other than those referred to in this document, should
be a topic addressed in individual unit code development. The
A faculty member on leave of absence who satisfies the
aforementioned criteria for a voting faculty member shall be eligible to
participate in the election of the unit's nominating committee for appointment
of administrative officials, in making recommendations on code content to the
unit's permanently tenured faculty, and in quadrennial evaluations of the
effectiveness of unit programs and/or administrators, provided that the absence
of the member on leave shall not have exceeded twelve months duration at the
time of the voting and provided that the member on leave returns to
In the event that return to the
B. Appointment of Administrative
Officials
Each administrative official (exclusive of the Chancellor,
the Vice Chancellor for Academic Affairs, the Vice Chancellor for Health
Sciences, the Vice Chancellor for Research, the Vice Chancellor for Business
Affairs, the Vice Chancellor for Student Life, the Vice Chancellor for
Institutional Advancement, the Director of Athletics, and their assistants)
whose direct concern is with academic matters will be appointed according to
the following procedure:
1. The
immediately superior administrative official will convene a nominating
committee which will be formed in the following way:
a. The
officer will designate a committee of at least five persons.
b. At
least three-fifths of this committee will be faculty members belonging to the
entire constituency of the office to be filled, elected by secret ballot by a
majority of the members of that constituency present and voting at a meeting
called for that purpose by the convening officer.
c. The
remainder of the committee will be chosen from permanently tenured faculty
members or administrators in a manner designated by the appointing officer. [Please refer to interpretation #I05-20.]
2. This
nominating committee shall:
a. establish
criteria that the new official must meet,
b. solicit
and screen applicants for the position, and
c. submit
to the appointing officer one or more nominees. The committee shall determine
by secret ballot that the nominees are acceptable to a majority of the
permanently tenured faculty of the school, department, or college.
3. The
appointing officer may accept one of the committee's nominees or may reject all
of them. If the appointing officer
should reject them, the committee must produce an additional nominee or
nominees.
C. Development, Screening, and
Implementation of Unit Codes
1. Each
autonomous, self-governing unit shall democratically develop a code of
operations. This code must be approved by a majority of the permanently tenured
faculty members of the unit. The code will provide for the conduct of unit affairs according to Robert's Rules of Order, Newly Revised.
. Each code will be submitted to the
- The faculty may democratically
decide to organize into self-governing, autonomous units at the
department, school, or college level in accordance with guidelines
established by the
(
3. To
provide consistency unit codes should be developed following an approved
outline that includes at least:
a. a preamble
b. definitions
of the unit's faculty, its voting faculty, its graduate faculty
c. the
administrative organization of the unit
d. the
membership, terms, and duties of standing committees
e. a
section that states regulations, criteria, and weights governing the evaluation
of faculty members annually and otherwise for all personnel actions, including
recommendations for merit awards, reappointment, promotion, and the award of
permanent tenure (ECU Faculty Manual,
Appendices C and D).
f. procedures
for meetings within the unit
g. procedures for the unit's faculty members
to indicate in a timely
fashion and by vote their approval or disapproval of the
unit's major planning documents, assessment documents, and other major reports
prior to their submission in final form to person(s) outside the unit (
h. procedures
for discussing with its unit administrator the unit's annual budget request and
annual report
i. procedures
for developing criteria for salary increases (
j. amendment
procedures.
4. Each
faculty member within a unit should have the most recent version of the unit's
code.
5. With
each quadrennial evaluation the unit administrator and the appropriate
committee reviewing the unit's code should report to the
6. Unit
codes that have been reviewed and approved by the Unit Code Screening
Committee, the
7. Immediately
prior to the unit's quadrennial evaluation of its unit administrator, the
Chancellor shall remind the unit's faculty and administrator that they must
follow the unit's code.
8. The
Chair of the Faculty and the Chancellor, or the Chancellor's delegate, shall
arrange and schedule an orientation program for newly appointed administrators,
to be conducted during the fall semester of each academic year.
D. Code Unit Changes
1. The
policies and procedures set forth in this section apply to the following code
unit changes:
a. dissolving
a code unit without terminating faculty members' employment,
b. dividing a code unit into two or more
code units,
c. merging a code unit with one or more
code units,
d. moving a code unit,
e. changing
a code unit's status from a department in a college to a school, or from a
school to one or more departments in a college,
f. renaming
a code unit, in addition, changes in unit nomenclature shall be approved by UNC
General Administration before such changes become effective. [Please refer to interpretation #05-19.]
g. any combination of the above.
Changes will not occur until the faculty members in the
units affected and the
2. Proposals
recommending code unit changes of the sort listed above may be initiated by:
a. at least one-fourth of a code unit's
faculty members or
b. by administrators holding faculty
status.
Proposals must include at least a vestigial code of
operations reflecting the changes and detailed plans for any faculty who might
be displaced by the change.[Please
refer to interpretation #01-17.]
3. Procedures for
making code unit changes are as follows:
a. The
person(s) initiating a proposal will provide copies of the proposal to the
faculty members and unit administrators of all code units to be altered by the
proposed changes.
b. Within
15 working days after the proposal has been distributed the initiator(s) will
meet to discuss the proposal with the faculty members of the unit(s) or with
representatives elected by each affected unit, the unit administrators, and the
appropriate deans and vice chancellors (or their representatives).
c. Within 10 working days after this
meeting, the permanently tenured faculty members of each affected unit will
meet and vote their approval or disapproval of the proposal in its original
form or as amended and then will communicate in writing the results of their
action to their unit administrator. The
unit administrator will not participate in this vote. (
d. Within
10 working days the unit administrator will forward to the next higher
administrator the results of the unit's action and his or her concurrence or
non-concurrence with the unit's action.
e. Within
10 working days the next higher administrator will communicate in writing to
the initiator(s) and to the appropriate vice-chancellor(s) the following: the
unit faculty's action, the unit administrator's concurrence or non-concurrence
with that action, and his or her concurrence or non-concurrence with that
action.
f. The
initiator(s) shall present copies of the proposal, the affected units' faculty
recommendations, and the relevant administrators' concurrence or
non-concurrence to the chair of the Educational Policies and Planning Committee.
The committee shall consult with appropriate deans and vice-chancellors, and,
if it deems necessary, with other faculty members and administrators. Within 40
working days (during the regular academic year), the committee will report its
recommendations to the
g. The
h. If
the changes are approved by the Chancellor (and higher authority if necessary),
implementation of these changes will be overseen by a committee including a
faculty member appointed by the chancellor, a faculty member appointed by the
Chair of the Faculty, and a faculty member appointed by the Educational
Policies and
Planning
Committee. The committee will provide
timely reports on progress to the Educational Policies and Planning Committee.
E. Five-Year Unit Program Evaluation
1. Every
fifth year, beginning with the 1998-1999 academic year, each unit shall
complete a self-evaluation of its operation. The appropriate vice chancellor
shall give notice to the voting faculty members of the unit that they shall
meet and elect by secret ballot an evaluation committee. The committee shall
supervise the unit evaluation ensuring full participation by all unit faculty
members. The evaluation shall include,
but not be limited to, all academic programs, budgets, teaching, research,
creative activity, and service activities. Expressions of student opinion
concerning academic programs and teaching shall be included.
2. The
dean or unit administrator shall be ineligible to serve on the evaluation
committee.
3. The
unit faculty members shall meet to consider the report and recommendations of
the evaluation committee not later than the end of January. The report and recommendations shall be
distributed to the unit faculty members not later than one week prior to the
meeting. The voting faculty members of the unit shall vote by secret ballot
whether or not to accept the evaluation committee's report and recommendations. Acceptance shall require three-fifths of the
voting faculty members of the unit. The report and recommendations, whether
accepted or not, and the vote of the unit shall be submitted to the next higher
administrative official not later than thirty calendar days prior to the
completion of the spring semester. The next higher administrative official
shall review the report and the vote, and then forward the report through
higher administrative offices to the Chancellor for review and comment. If any administrator above the unit level
fails to concur with the unit's recommendation that administrator shall inform
the faculty of the unit in writing of the reasons for his or her decision.
4. The
unit program evaluation shall be used in the development of the unit
operational plan. (
F. Quadrennial Unit Administrator
Evaluation
[Please refer to interpretation #00-13.]
1. The voting faculty of each unit shall vote on
the effectiveness of the unit administrator. During March of the unit administrator's fourth
year of appointment and every fourth year thereafter, the voting faculty shall
discuss and vote by secret ballot on the effectiveness of the unit
administrator. Please refer to the ECU Policy on
Review of Administrative Officers, dated 3-18-02.
2. Each
unit will elect a Faculty Leader for the Quadrennial Unit Administrator
Evaluation. For units with only one Personnel Committee, the elected chair of
the Personnel Committee will serve as the Faculty Leader for the Quadrennial
Unit Administrator Evaluation. For units with more than one Personnel
Committee, the unit administrator will call a meeting of the chairs of the Personnel
Committees during the fall semester preceding the Quadrennial Unit
Administrator Evaluation. At that meeting, a voting faculty member of the unit
will be nominated and elected by the chairs of the Personnel Committees within
the unit to serve as the Faculty Leader for the Quadrennial Unit Evaluation.
3. The
Faculty Leader of the Quadrennial Unit Administrator Evaluation will call a
meeting of the voting faculty during March of the following semester. At that meeting, with the unit
administrator absent, the faculty will discuss and vote by secret ballot on the
effectiveness of the unit administrator. Absentee ballots must be made
available for voting faculty members in advance of this meeting; ballots must
be deposited with the Faculty Leader for the Quadrennial Unit Administrator
Evaluation prior to the meeting so that those ballots may be intermingled with
and then counted along with ballots of faculty members present for the meeting.
It is the responsibility of the Faculty Leader for the Quadrennial Unit
Administrator Evaluation to ensure that absentee ballots and all other ballots
are kept secret and confidential.
4. The
balloting will be conducted by the Faculty Leader for the Quadrennial Unit
Administrator Evaluation, assisted by members of the Personnel Committee(s)
from the unit. They shall distribute, collect, and count the ballots after
adding any absentee ballots cast prior to the meeting. The unit administrator
shall not vote in this procedure.
5. Before adjourning the meeting, the Faculty
Leader for the Quadrennial Unit Administrator Evaluation shall announce the
results of the balloting to the voting faculty members. Immediately following
the meeting, the Faculty Leader for the Quadrennial Unit Administrator
Evaluation shall convey to the unit administrator the results of the balloting.
A copy of this correspondence shall also be submitted to the next higher
administrative official by the Faculty Leader for the Quadrennial Unit
Administrator Evaluation.
6. A negative vote by a majority of the voting
faculty, excluding the unit administrator, shall constitute a recommendation
that the unit administrator be removed. A decision to terminate an
administrative officer's appointment shall be made by the Chancellor. (
G. Annual Evaluation of University
Administrators
Faculty shall evaluate administrators annually, employing an
instrument approved by the
Approved:
10 December
1993
Amended:
Faculty Senate Resolution #03-05, March 2003
Interpretations
made to Section A. (2-11-98, 9-6-96, and 2-23-94)
Interpretations
made to Section A. and F. (2-1-00)
Interpretation made to Section D.2.
(
February 2001)
Editorial revisions to Sections C
and D (
April 2003)
Interpretation made to Section
D.1.f. (
Interpretation made to Section
B.1.c. (
APPENDIX U
POLICY ON IMPROPER RELATIONSHIPS
BETWEEN STUDENTS AND FACULTY
CONTENTS
A. Prohibited
Conduct
B. Definition
of Terms
C. Corrective
Action
A. Prohibited Conduct
1. It is misconduct, subject to disciplinary
action, for a University employee, incident to any instructional, research,
administrative or other University employment responsibility or authority, to
evaluate or supervise any enrolled student of the institution with whom he or
she has an amorous relationship or to whom he or she is related by blood, law
or marriage.
2. It is misconduct, subject to disciplinary
action, for a University employee to engage in sexual activity with any
enrolled student of the institution, other than his or her spouse, who is a
minor below the age of 18 years.
B. Definition of Terms
1. "Amorous relationship." An amorous
relationship exists when, without the benefit of marriage, two persons as
consenting partners (a) have a sexual union or (b) engage in a romantic
partnering or courtship that may or may not have been consummated sexually.
2. "Related by blood, law or
marriage” means:
a. Parent and child
b. Brother and sister
c. Grandparent and grandchild
d. Aunt and/or uncle and niece and/or
nephew
e. First cousins
f. Step-parent and step-child
g. Husband and wife
h. Parents-in-law and children-in-law
I. Brothers-in-law and sisters-in-law
j. Guardian and ward
3. "Evaluate or supervise" means
a. To assess, determine or influence (1)
one's academic performance, progress or potential or (2) one's entitlement to
or eligibility for any institutionally conferred right, benefit or opportunity,
or
b. To oversee, manage or direct one's
academic or other institutionally prescribed activities.
C. Corrective Action
Violations
of the provisions of Section A shall be addressed in accordance with remedial
measures prescribed by the University; if disciplinary action is brought
against an affected employee, it shall be conducted in accordance with existing
institutional policies and procedures prescribed for prosecuting misconduct
charges against members of the class of employment of which the affected
employee is a member.
Approved: Administrative Memorandum #360
18 March 1996
The Board of Governors
of The
APPENDIX V
SEXUAL HARASSMENT, DISCRIMINATION ,
AND CONFLICTS OF INTEREST POLICIES AND PROCEDURES OF
CONTENTS
I. Rationale
II. Policy on Sexual Harassment,
Discrimination, and Conflicts of Interest
A. Introduction
B. Definitions
C. Policy
III. Grievances Against
IV. Grievances Against
V. Grievances
Against
VI. Education of Students, Staff, and
Faculty
VII. Disciplinary Action
________________________
* East
Carolina University's EEOC policies on non-discrimination in recruitment and
hiring are contained in Part VI, General
Personnel Information of the ECU
Faculty Manual. The University of
North Carolina Committee of Governors resolution regarding potential favoritism
between University employees is contained in Part VI, General Personnel Information.
I. Rationale
Well‑publicized policies and procedures such as these
will help to create an atmosphere in which individuals who believe that they
are the victims of sexual harassment or discrimination are assured that their
grievances will be dealt with fairly and effectively. It is more important still to create an
atmosphere in which instances of sexual harassment or discrimination are
discouraged. Toward this end, all
members of the university community should understand that sexual harassment,
sexual discrimination, and sexual exploitation of professional relationships
violates the University's policy and will not be tolerated. Members of the university community are
encouraged to express freely, responsibly, and in an orderly way their opinions
and feelings about any problem or complaint of harassment or discrimination
prohibited under these policies.
II. Policy on Sexual Harassment,
Discrimination, and Conflicts of Interest
A. Introduction
Sexual harassment and discrimination are illegal and
endanger the environment of tolerance, civility, and mutual respect that must
prevail if the University is to fulfill its mission.
Further, amorous relations between a student and a
University employee who is responsible for supervising or evaluating the
student, or between an employee and the person supervising that employee may
derogate the merit principle of supervision and evaluation. This policy is the university's statement of
its intent to prohibit sexual harassment and discrimination, and to prohibit
amorous relations between the University's employees and students, and
employees and supervisors when these relations create a risk of favoritism.
B. Definitions
1. Sexual Harassment
The following constitute sexual harassment:
a. Making
verbal remarks or committing physical actions that propose to people of either
sex that they engage in or tolerate activities of a sexual nature in order to
avoid some punishment or to receive some reward;
b. Singling out
people of either sex and creating or attempting to create a hostile university
or working environment or otherwise attempting to harm or harming people
because of their sex.
c. Continuing
verbal or physical conduct of a sexual nature when the person or persons the
conduct is directed toward has indicated clearly, by word or action, that this
conduct is unwanted.
2. Sexual
Discrimination
Sexual discrimination consists of actions that subject
employees or students to unequal treatment on the basis of their sex.
3. Conflicts of Interest
Consensual
amorous relationships in which one person is responsible for supervising or
evaluating the other create conflicts of interest because they impair or
reasonably can be expected to impair the professional judgment of the
supervisor.
C. Policy
It is the responsibility of members of the university
community to strive to create an environment free of sexual harassment and
discrimination, and free of unprofessional bias in the supervision and
evaluation of students and employees.
1. It
is against the policies of
2. It
is against the policies of East Carolina University for its employees or
students to create a hostile University or work‑place environment for an
individual or group because of the individual's or the group's sex.
3. It
is against the policies of
4. It
is against the policies of
5. It
is against the policies of
III. Grievances Against
Complaints
brought against
IV. Grievances Against
Complaints brought against East Carolina University Staff by
V. Grievances Against
Complaints brought against
VI. Education of Students, Staff, and Faculty
The Committee on the Status of Women or its successor will
develop educational materials to be distributed to students, faculty and
staff. These materials will publicize
the policies and procedures and help create a proper academic atmosphere that
is free of sexual discrimination and harassment. Each year the Committee on the Status of
Women will review the effectiveness of the educational materials and procedures
and make any necessary revisions. All
materials will be reviewed by the campus attorney before they are distributed.
VII. Disciplinary Action
See section
I of Appendix X of the ECU Faculty Manual
for the policies and procedures governing disciplinary actions that may be taken against faculty members who
violate these policies.
Approved:
12 December 1991
Amended:
APPENDIX W
RACIAL AND ETHNIC HARASSMENT
POLICIES OF
CONTENTS
I. Rationale
II. Racial and Ethnic Harassment Policy
A. Introduction
B. Definitions
C. Policy
III. Grievances Against
IV. Grievances Against
V. Grievances
Against
VI. Disciplinary Action
I. Rationale
The faculty, staff, administration, and students of
II. Racial and Ethnic Harassment Policy
A. Introduction
Racial and/or ethnic harassment endangers the environment of
tolerance, civility, and mutual respect that must prevail if the university is
to fulfill its mission. Such harassment
will not be condoned by members of the university community. This policy is the university's statement of
its intent to protect its educational environment by prohibiting specific forms
of racial and/or ethnic harassment. The
university recognizes that the free and unfettered interchange of competing
views is essential to the institution's educational mission, and that the
peoples' right to express opinions is guaranteed by the United States
Constitution.
B. Definitions
Racial and/or Ethnic Harassment. The following constitute racial and/or ethnic
harassment:
1. singling
out people because of their race or ethnic affiliation and subjecting them to
unequal or
unfair treatment; or
2. harming,
attempting to harm, or threatening to harm people because of their race and/or
ethnic affiliation.
C. Policy
It is the responsibility of members of the university
community to strive to create an environment free of racial and/or ethnic
harassment.
1. It
is against the policies of
2. It
is against the policies of
III. Grievances Against
Complaints brought against
IV. Grievances Against
Complaints brought against
V. Grievances
Against
Complaints brought against East Carolina University faculty
members or administrators holding faculty status by East Carolina University
students, faculty, staff, administrators or visitors ordinarily are governed by
the grievance procedures stated in the ECU
Faculty Manual, Appendix X, Grievance Procedures for Complaints of Sexual or
Racial Harassment or Discrimination or Conflicts of Interest Brought Against
East Carolina University Faculty Members or Administrators Holding Faculty
Status. However, if a faculty member
raises allegations of racial or ethnic harassment or discrimination during a
hearing he or she requested before the Due Process Committee, the
Reconsideration Committee, or the Faculty Hearing Committee (in accordance with
the policies and procedures set forth in the ECU Faculty Manual, Appendix D, Tenure and Promotion Policies and
Procedures of ECU), the relevant committee shall determine the merits and
bearing, if any, of the allegations raised by the faculty member on the matter
before the committee. Such actions by
the Due Process Committee, the Reconsideration Committee, or the Faculty
Hearing Committee shall not preclude a faculty member from independently
bringing a complaint of racial or ethnic harassment or discrimination in
accordance with the grievance procedures stated in the ECU Faculty Manual, Appendix X, Grievance Procedures for Complaints of
Sexual or Racial Harassment or Discrimination or Conflicts of Interest Brought
Against East Carolina University Faculty Members or Administrators Holding
Faculty Status. The outcome of an Appendix X grievance brought by a
faculty member against other faculty members or administrators holding faculty
status either may be appealed in accordance with the provisions for appeal set
forth in Appendix X, or may be appealed before the Faculty Grievance Committee
in accordance with the policies and procedures set forth in ECU Faculty Manual, Appendix D, but not both.
VI. Disciplinary Action
See section
I. of Appendix X of the ECU Faculty
Manual for the policies and
procedures governing disciplinary actions that may be taken against faculty
members who violate these policies.
Approved:
30
October 1991
Amended:
APPENDIX X
GRIEVANCE PROCEDURES FOR COMPLAINTS
OF SEXUAL OR RACIAL HARASSMENT OR DISCRIMINATION OR CONFLICTS OF INTEREST
BROUGHT AGAINST EAST CAROLINA UNIVERSITY FACULTY MEMBERS OR ADMINISTRATORS
HOLDING FACULTY STATUS.*
CONTENTS
I. Preamble
II.
Grievance
Procedures
A. Reporting the
Complaint to the Grievance Officer
B.
Education
and Information about the Policy and Procedures
III.
Level
One Grievance Procedures
IV.
Anonymous
Complaints
V.
Level
One Procedures for Complaints of Harassment or Discrimination
A.
Investigation
of Complaints of Alleged Harassment or Discrimination
B.
Termination
of Level One Procedures of Complaints for Harassment or Discrimination
C.
Records
D.
Procedures
To Be Followed Upon the Imposition of Sanctions
E.
Appeal
of a Level One Finding
VI.
Level
One Procedures for Complaints of Conflict of Interest
VII.
Level
Two Grievance Procedures
A.
Composition
of the Grievance Board
B.
Purposes
of Hearing
C.
Conduct
of Hearing
D.
Hearing
Procedures
E.
Disciplinary
Action
F.
Appeal
of a Level Two Grievance Finding
VIII. Annual Report
_________________
*East
Carolina University's policies on non‑discrimination in recruitment and
hiring are contained in Part VI, General
Personnel Information of the ECU Faculty Manual. The University of North Carolina Board of
Governors resolution regarding potential favoritism between University
employees is contained in Part VI,
General Personnel Information of
the ECU Faculty Manual.
I. Preamble
A.
Well‑publicized
procedures such as these will help to create an atmosphere in which individuals
who believe that they are the victims of harassment or discrimination are
assured that their grievances will be dealt with fairly and effectively. It is more important still to create an
atmosphere in which instances of sexual, racial or ethnic harassment or
discrimination, and conflicts of interest are not tolerated. Toward this end, all members of the
University community should understand that sexual, racial, and ethnic
harassment or discrimination, the creation of conflicts of interest, and the
exploitation of professional relationships violates
B.
Members
of the University Community are encouraged to express freely, responsibly, and
in an orderly way their opinions and feelings about any problem or complaint of
harassment, discrimination or conflict of interest prohibited under the
policies stated in the ECU Faculty
Manual, Part VII, Research Information, and Appendix V, Sexual Harassment, Discrimination, and Conflicts of
Interest Policies.
C.
Any
act by a University employee or student of reprisal, interference, restraint,
penalty, discrimination, coercion, or harassment against a student or an
employee for using these procedures responsibly interferes with free expression
and openness, and violates
II. Grievance Procedures
If a complaint is not resolved to the satisfaction of the
complainant at Level One, the complainant may elect to proceed to a Level Two
hearing.
A. Reporting the
Complaint to the Grievance Officer.
1.
East
Carolina University students, faculty members, staff, and administrators or
visitors who believe that they are victims of sexual, racial, or ethnic
harassment or discrimination by East Carolina University Faculty members or
administrators with faculty status should bring the matter to the attention of
the University Grievance Officer.
2.
Students,
faculty members, staff, or administrators wishing to make a complaint of a
conflict of interest should bring this to the attention of the Grievance
Officer.
3.
The
Grievance Officer and an alternate will be appointed by the Chancellor. The alternate will receive a complaint if in
the judgment of the Chancellor a conflict of interest might arise if the
complaint is received by the Grievance Officer.
B.
Education
and Information about the Policy and Procedures
1.
Any
member of the university community or visitor who believes that she or he has
been subject to sexual, racial,
or ethnic harassment or
discrimination by an
2.
Any
member of the university community wishing to make a complaint of a conflict of
interest should bring this complaint to the attention of the University
Grievance Officer.
3.
The
Grievance Officer shall listen to and discuss the complaint with the
complainants, will inform them of all available options, and will encourage the
complainants to make personal records of all events relevant to the complaint.
4.
The
Grievance Officer will be available to complainants and to witnesses to discuss
their rights and procedural options, as well as the possible outcomes of these
options.
5.
The
Grievance Officer will attend the University’s Level One and Level Two procedures
if the complainants have decided to pursue such procedures.
III. Level One Grievance Procedures
A.
Level
One procedures are initiated either:
1.
when
complainants communicate complaints verbally and in person to the Grievance
Officer, or
2.
when
complainants submit written and signed complaints to the Grievance Officer.
B.
The
Grievance Officer will provide a written description of a complaint, or a copy
or a written and signed complaint to the accused parties (hereafter, the
respondents) before beginning any investigation and not later than five (5)
working days following the receipt of the complaint.
IV. Anonymous
Complaints
A.
B.
such
complaints shall not become a part of the faculty member’s master
personnel/evaluation file (see, in addition ECU
Faculty Manual, Appendix C, Personnel Policies and Procedures for the
Faculty of East Carolina as pertains to the master personnel/evaluation file);
C.
nor
shall such complaints become the basis for sanctions against the faculty
member.
V.
Level
One Procedures for Complaints of Harassment or Discrimination
A.
Investigation
of Complaints of Alleged Harassment or Discrimination
1.
The
Grievance Officer, upon receiving a complaint, shall determine whether evidence
exists to sustain the complaint. In
making this determination, the Grievance Officer may conduct an investigation;
however, every effort will be made to preserve the confidentiality of both
complainant and respondent.
2.
During
the investigation of a complaint the chancellor or appropriate vice chancellor
may take interim measures, such as transferring a student to another class and
other action, up to and including suspension with pay to prevent misconduct or
retaliation.
3.
During
Level One procedures, if the complainants so request, the complainants’ names
shall be deleted from the copy of the complaints provided to the respondents
and every effort will be made to keep the complainants’ identify confidential.
4.
If
the respondents wish to reply to the complainants, the Grievance Officer will
communicate this reply to the complainants.
5.
This
procedure allowing for a dialogue between complainants and respondents will
continue until the matter is resolved to the satisfaction of the complainant
and the respondent, or either party wishes to terminate dialogue.
B.
Termination
of Level One Procedures for Complaints for Harassment or Discrimination
1.
When
Level One procedures are terminated without being resolved to the satisfaction
of complainants, complainants have the option of initiating Level Two
procedures.
2.
If
the complainants are unsatisfied after attempting to resolve the grievance
thorough Level One procedures, the complainants may submit a written, signed
statement of their grievances to the Grievance officer, and may initiate Level
Two grievance procedures.
C.
Records
1.
The
Grievance Officer will keep a record of the initial and of any subsequent
discussions between the complainants and the Grievance Officer, and of
discussions between the Grievance Officer and respondents. This record will include:
a.
the
complainants’ description of the alleged events, including times, places, and
dates, if possible.
b.
the
complainants’ description of the alleged effects of these events, if any,
c.
names
of witnesses, if any,
d.
the
names of the individuals alleged to have subjected the complainants to
harassment and/or discrimination, and
e.
the
replies of the respondents, if any, and
f.
any
and all information gained in the investigation.
2.
Complainants
and respondents may review a copy of this record from which the complainants’
names and personally identifiable information have been deleted. Complainants and respondents may append to
this record a written response to each of the factual claims of the
record. In any case where a written
response is appended to the record, this will be noted in the record itself.
D.
Procedures
To Be Followed Upon the Imposition of Sanctions
1.
The
Chancellor or (the Chancellor’s designee) may respond to substantiated claims
by the impositions of serious sanctions, including discharge, suspension,
reduction in rank, or lesser sanctions provided that the conditions specified
below are met prior to the imposition of sanctions. However, failure of the respondent to
cooperate with the investigation (failure to respond to the allegations,
failure to accept a copy of the report of the investigation, etc.) will not
preclude the University from imposing appropriate sanctions.