APPENDIX D.
TENURE AND PROMOTION POLICIES AND PROCEDURES
OF
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 Faculty Senate. Except for the ex-officio member, membership
on an ad hoc committee shall be limited to full-time permanently tenured
faculty without administrative appointment.
Upon organization, the committee shall elect a chair and a
secretary. The ad hoc Faculty Advisory
Committee, following procedures according to the most recent edition of Robert's Rules of Order, Newly Revised,
shall submit a report of its advice and recommendations, at a time determined
by the chancellor. In preparing this
report, the committee shall have access to information considered in any prior
reports, and the committee may interview appropriate persons.
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. (Faculty Senate Resolution #99-4)
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[1];
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.