2009-2010
FACULTY SENATE
The fourth
regular meeting of the 2009/2010 Faculty Senate will be held on
Tuesday, December 1, 2009, at 2:10 p.m. in the Health Sciences Building
(off 5th Street) in room 1120 (College of Nursing side).
PLEASE NOTE CHANGE IN MEETING LOCATION.
Faculty with ECU parking permits can
park in the A5, B5, or B4 zone
parking areas located in front of
the Allied Health Sciences and Nursing
Wings and is labeled as SM-20 in the linked
information.
AGENDA
I. Call to Order
II.
Approval of Minutes
November
3, 2009
III. Special Order of the Day
A. Roll
Call
B. Announcements
C. Steve Ballard, Chancellor
D. Marilyn Sheerer, Provost and Senior Vice Chancellor
for Academic and Student Affairs
E. Marianna
Walker, Chair of the Faculty
F. Mark Sprague, Faculty Assembly
Delegate
Report on
the November
20, 2009,
Faculty Assembly Meeting.
G. David Weismiller, Director of SACS
Written Report on Activities
of the Faculty Credentials Committee
H. James
Gehlhar, Associate Vice Chancellor for International Affairs
Written Report on
International Student Enrollment
I. Question
Period
IV. Unfinished Business
V.
Report of
Committees
A. Academic Standards Committee, Linda Wolfe
1. Approval of Foundation Curriculum
Course for Arts,
COMM
2020: Fundamentals of Speech Communication (FC:FA)
2. Approval of Foundation Curriculum Course for Science,
BIOL
2110/2111: Fundamental of Microbiology (FC:SC)
Proposed 2010-2011 Faculty Senate and
Agenda Committee meeting dates (attachment 1).
C. Educational
Policies and Planning Committee, Deedee Glascoff
1. Proposed Sport
and Exercise Psychology Concentration in the Master of Science degree in
Exercise and Sport Science within the
2.
Proposed
Risk
Management and Insurance Concentration in the BSBA in Finance within the
3.
Proposed Health
Physics Concentration in the Master of Science degree in Physics within the
D. Faculty
Governance Committee, Puri Martinez
1. Proposed revisions to the ECU Faculty Manual, Appendix
I. Policy on Conflicts of Interest and Commitment. (attachment
2).
2. Proposed revisions to the ECU Faculty Manual, Appendix
D. Tenure and Promotion Policies and Procedures of ECU (attachment 3).
F. University Curriculum Committee, Paul Schwager
Curriculum
matters contained in the November
12, 2009, University Curriculum Committee minutes.
VI. New Business
Faculty
Senate Agenda
December
1, 2009
Attachment 1.
AGENDA COMMITTEE REPORT
Proposed
2010-2011 Faculty Senate and Agenda Committee Meeting Dates
August
24 |
Classes
Begin |
January
7 |
Classes
Begin |
September
6 |
State
Holiday |
January
17 |
State
Holiday |
October
9 – 12 |
Fall
Break |
March 6–13 |
Spring
Break |
October
25-29 |
Early
Registration |
March
21-25 |
Early
Registration |
November
24–28 |
Thanksgiving
Break |
April
22-23 |
State
Holiday |
December
7 |
Classes
End |
April 25 |
Classes
End |
December
9-16 |
Exams |
April
28-May 5 |
Exams |
August
31, 2010 |
September
7, 2010 |
September
21, 2010 |
October
5, 2010 |
October
19, 2010 |
November
2, 2010 |
November
16, 2010 |
December
1, 2010 |
January
11, 2011 |
January
25, 2011 |
February
8, 2011 |
February
22, 2011 |
March
15, 2011 |
March
29, 2011 |
April 5,
2011 |
April
19, 2011 |
|
April
26, 2011 Organizational
Meeting |
Faculty Senate Agenda
December
1, 2009
Attachment 2.
FACULTY GOVERNANCE COMMITTEE REPORT
Proposed revision to the ECU Faculty Manual,
Appendix I. Policy on Conflicts of Interest and Commitment.
Proposed
revisions are noted in bold print and deletions are noted in strikethrough.
APPENDIX I
EAST CAROLINA UNIVERSITY POLICY ON
CONFLICTS OF INTEREST AND COMMITMENT AND
EXTERNAL ACTIVITIES OF FACULTY AND OTHER PROFESSIONAL STAFF
CONTENTS
II. The Concepts at Issue Definitions
III. Policies
A.
Conflict of Interest
B.
Conflict of Commitment
C. External Professional Activities of Faculty and Other
Professional Staff
IV. Categories and Examples of Potential
Conflicts
V. Conflict
of Interest Procedures
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. External
Professional Activity for Pay Procedures
VIII. Enforcement of the
Policies
IX. Definitions Enforcement of Policies
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.
Effective July 1, 1995, aAll EPA faculty members and other
professional Non faculty EPA staff of East Carolina University are subject
to revised policies concerning conflicts of interest and conflicts of
commitment affecting University employment and external professional
activities. This policy covers full-time faculty and EPA non-faculty employees,
part-time faculty and EPA non-faculty employees, (those UNC employees who are not subject to the State Personnel Act –
hereinafter referred to as ‘EPA employees’). insofar as their University
responsibilities are concerned, and faculty and EPA non-faculty employees who
are on leave if the leave is funded at least partially from University sources.
The revised ECU policies are This
policy is based on policies and guidelines adopted by the UNC system Board
of Governors, federal and state law,
and federal agency sponsor requirements.
Any questions regarding these procedures or the Board of Governors' policies
upon which they are based should be directed to the appropriate divisional
vice chancellor ECU Office of
Research Compliance Administration.
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.
A.
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, not-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.
B.
Conflict
of commitment relates to an individual’s distribution
of effort between obligations to his or her University employment and
participation in activities outside of University employment. The latter may include such generally
encouraged extensions of professional expertise as professional consulting. A conflict of commitment occurs when the
pursuit of such outside activities involves an inordinate investment of time
that interferes with the EPA employee’s obligations to students, to colleagues,
and/or to missions of the University
C. Conflict of
interest relates to situations in
which financial or other personal considerations may compromise, may involve
the potential for compromising, or may have the appearance of compromising an
EPA employee’s objectivity in fulfilling University duties or responsibilities,
including research activities.
D.
Executive Position" refers to any position that
includes responsibilities for a material segment of the operation or management
of a business, including Board membership.
E.
External
professional activities for pay means any activity that 1) is not
included within one’s University employment responsibilities; 2) is performed
for any entity, public or private, other than the University employer; 3) is
undertaken for compensation; and 4) is based upon the professional knowledge,
experience and abilities of the EPA employee.
Activities for pay not involving such professional knowledge, experience
and abilities are not subject to advance disclosure and approval requirements
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 resources,
or claims of University responsibility for the activity.
F.
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.
G.
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.
H.
Inappropriate
use or exploitation of University resources means using any services, facilities,
equipment, supplies, or personnel that members of the general public may not
freely use. A person engaged in
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.
I.
"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.
J.
Significant
Financial Interest has the same meaning as in 42 C.F.R. 50.603 as it
currently exists and as it may later be amended. This provision of the Code of Federal
Regulations defines a Significant Financial Interest to mean: 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 and royalties from such rights). The term does not include:
1. Salary, royalties, or other remuneration from the applicant
institution;
2. Any ownership interests in the institution, if the
institution is an applicant under the Small Business Innovation Research
Program (SBIR);
3. Income from seminars, lectures, or teaching engagements
sponsored by public or nonprofit entities;
4. Income from service
on advisory committees or review panels for public or nonprofit entities;
5. An equity interest that when aggregated for the Investigator
and the Investigator’s spouse and dependent children, 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; or
6. Salary, royalties or other payments that when aggregated for
the Investigator and the Investigator’s spouse and dependent children over the
next twelve months, are not expected to exceed $10,000.
K.
"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.
L.
"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.
M.
University employment responsibilities include both “primary duties” and “secondary duties.” Primary duties consist of assigned teaching,
scholarship, research, institutional service requirements, and other assigned
EPA employment duties. Secondary duties
consist of professional affiliations and activities undertaken by EPA employees
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 (See also UNC Policy Manual 300.2.2.2[R]) 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 interfere with the timely and effective
performance of the individual’s primary University duties.
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.
A.
Conflict of Interest
It
is the policy of the University that faculty and EPA non-faculty Employees 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. Compromise, may
involve the potential for compromising, or may have the appearance of
compromising the EPA employee’s objectivity in fulfilling University
responsibilities, including research activities. Accordingly, outside activities and
financial interests must be disclosed by
EPA employees on an annual basis. Disclosures must be updated when new
external interests develop. This notwithstanding, EPA employees have a
continuing obligation to timely update these disclosures as 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 eEmployees shall devote their primary professional
loyalty, time, and energy to their teaching, research, service, and, where
applicable, patient care at the University employment responsibilities, including research activities.
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. Accordingly, EPA Employees shall not engage in activities outside of their
employment that involves an inordinate investment of time that interferes with
the EPA employee’s obligations to students, to colleagues, and/or to missions
of the University. Such activities are
unacceptable outside activities.
Conflicts of commitment may also arise in connection with
non-compensated activities and a conflict of commitment may exist
notwithstanding that an EPA employee received no economic benefit from the
outside activity. The issue, in each
case, is whether the employee is meeting the requirements of the job (as such
responsibilities and requirements may be defined by applicable University
policy and as may be further described in an individual’s job description or
appointment letter).
The policy on External
Professional Activities of Faculty and Other Professional Staff should be used
for these potential conflicts of commitment situations.
Although full-time
faculty and other EPA employment is not amenable to precise, time-clock
analysis and monitoring, administrators at the department and school levels are
charged with the evaluation of the work of employees under their
supervision. The formal occasions for
determining whether an individual is devoting sufficient time and energy to University
employment include regular reviews in connection with annual salary decisions
and scheduled reviews incident to promotion, reappointment or tenure decisions
and reviews of Notices of Intent to Engage in External Professional Activities
for Pay.
Activities
that may involve conflicts of interest can
be categorized under four general headings: or commitment fall into
three general categories that differentiate relationships according to
potential for adverse impact.
Category
I: consists of activities that appear to
involve a conflict of interest but in, fact, do not. 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: consist of activities that present
potential conflict of interest and must be reported, but that may be allowable
with administrative approval. 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 are
generally not allowable because they involve potential conflicts of interest or
they present obvious opportunities or inducements to favor personal interests
over institutional interests. Before proceeding with such an endeavor, the EPA
Employee must demonstrate that in fact
his or her objectivity would not be affected and University interests otherwise
would not be damaged. An approved
conflict of interest management plan must be in place before any activities
involving this category are initiated.
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.
Category IV: consists of activities that have the
potential for creating conflicts of interest that are prohibited by North
Carolina and/or federal law and, therefore, may not be undertaken.
Provided
below are representative, but not all-inclusive, examples of activities in each
of these three four categories.
Please refer to Section IX below above
for important definitions.
Category
I:
Activities allowable,
with no reporting required. The examples
cited below involve activities external to University employment, and thus may
present the appearance of a technical conflict, but they in fact do not have
the potential for affecting the objectivity of the EPA employee’s performance
of University responsibilities; at most, some such situations could prompt
questions about conflicts of commitment.
a) An EPA Employee receiving royalties
from the publication of scholarly works and other writings or for the licensure
of patented inventions pursuant to the University's Patent and Copyright
Policies (Faculty Manual, Part VII, Research Information).
b) An EPA employee receiving nominal
compensation, in the form of honoraria or expense reimbursement, in connection
with service to professional associations, service on review panels,
presentation of scholarly works, and participation in accreditation reviews.
Senior Academic and Administrative Officers may also be subject to special
regulations regarding honoraria which require leave to be taken when external
activities for pay will take place during the regular work week (UNC Policy
Manual, 300.2.2.2[R]).
c) An EPA Employee having an equity
interest in a corporation used solely for the individual's consulting
activities provided such consulting activities are appropriately reported and
approved in accordance with the policy on, External Professional Activities of
Faculty and Other Professional Staff and the corporation is not directly or
indirectly conducting any business or sponsoring any projects with the
University.
Category II:
Activities requiring
disclosure for administrative review.
a) An EPA employee accepting support for University research
under conditions that require research results to be held confidential,
unpublished, or inordinately delayed in publication. Research conducted by faculty or students
under any form of sponsorship must maintain the University’s open teaching and
research philosophy and must adhere to a policy that prohibits secrecy in
research. Such conditions on publication
must be in compliance with UNC Policy Manual, 500.1 and 500.2.
b) Related persons working on the same funded or unfunded
project.
2. External Activities
a)
An EPA
Employee serving on the board of directors or scientific advisory board of an
enterprise or business that provides financial support for University research,
and the employee or a member of his or her immediate family may receive such
financial support.
b) An EPA Employee serving in an executive position in a for
profit or not-for-profit business which conducts research or other activities
in an area related to the University duties of the employee.
3. Ownership
a)
An EPA
Employee having a financial interest or a significant financial interest in a
business that competes with the services provided by the University.
b) An EPA Employee having significant equity or a Significant
Financial Interest in a for-profit business which conducts research or other
activities in an area related to the employee’s University duties. An EPA Employee requiring students to
purchase the textbook or related instructional materials of the employee or
members of his or her immediate family, which produces compensation for the
employee or family member.
4. Other
a)
An EPA
employee receiving compensation or gratuities (other than occasional meals,
gifts or desk copies of textbooks, and the like) from any individual or entity
doing business with the University. This
notwithstanding, see Category IV example (f).
b) Engaging in any other activity that has the potential for
creating a conflict of interest or commitment as defined herein.
Category III:
Activities or
relationships that are generally not allowable.
1. Research Activities
a)
An EPA
Employee 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 an immediate family member has a consulting
relationship, has an ownership interest, or holds an executive position.
b) An EPA Employee participating in University research which
is funded by a grant or contract from a business in which the individual or
member of his or her immediate family has an ownership interest and/or
significant financial interest;
c) An EPA Employee assigning students, postdoctoral fellows or
other trainees to University research projects sponsored by a business in which
the individual or a member of his or her immediate family has an ownership
interest and/or significant financial interest.
2.
External Activities
a)
Assuming
an executive position in a not-for-profit business with which the University
has a 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) An EPA Employee making referrals of University business to
an external business or company in which the individual or a member of his or
her immediate family has a financial interest, including a consulting
relationship.
c) An EPA Employee associating his or her own name with the
University in such way as to profit financially by trading on the reputation or
goodwill of 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.
d) An EPA Employee serving as an expert witness for pay in
litigation which requires the disclosure of research data in a manner that will
compromise the University’s or a student’s ability to publish.
3. Public Disclosure
a)
An EPA
Employee 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) An EPA Employee making unauthorized use of privileged
information acquired in connection with one's University responsibilities. See also Category IV activities.
4. Administrative
Responsibilities
a)
An EPA
Employee 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. See
also Category IV activities.
b)
An EPA
Employee 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. See also Category IV
activities.
5. Committee
Participation
a)
An EPA
Employee 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.
Category IV: Activities that have the potential for creating conflicts of
interest that are prohibited by North Carolina and federal law (including N.C.
Gen. Stat. 14-234 and 14-234.1 as they
currently exist and as may later be amended) and, therefore, may not be
undertaken.
(a)
N.C.G.S. (a1)(4)
defines “direct benefit from a contract” to mean where a state officer or
employee or his or her spouse: (i)
has more than a ten percent (10%) ownership or other interest in an entity that
is a party to contract with a state agency; (ii) derives any income or
commission directly from the contract with a state agency; (iii) acquires any
property under the contract with a state agency.
(b) N.C.G.S. 14-234 (a1)((2)
states that a public officer or employee is involved in administering a
contract if he or she oversees the performance of the contract or has authority
to make decisions regarding the contract or to interpret the contract.
(c)
N.C.G.S. 14-234 (a1)((3) states in part that a public
officer or employee is involved in making a contract if he or she participates
in the development of specifications or terms or in the preparation or award of
the contract.
(d) North Carolina law
prohibits a state officer or employee who is involved in making or administering
a contract on behalf of a state agency from deriving a direct benefit from the
contract (N.C.G.S. 14-234 (a)(1)).
(e)
North Carolina law prohibits a state officer or employee who
receives a direct benefit from a contract with the state agency he or she
serves, but who is not involved in making or administering the contract, from
attempting to influence any other person who is involved in making or
administering the contract. (N.C.G.S.
14-234 (a)(2))
(f)
North Carolina law prohibits a state officer or employee
from soliciting or receiving any gift, reward, or promise of reward in exchange
for recommending, influencing, or attempting to influence the award of a
contract by the state agency he or she serves. (N.C.G.S. 14-234 (a)(3))
(g)
Contracts made in violation of N.C.G.S. 14-234 are void as a matter of law and anyone violating this statute may be
prosecuted criminally.
(h)
N.C.G.S.
14-234.1 prohibits a State officer or employee from benefiting
financially, or helping someone else benefit, from non-public information
gained by the employee in his or her official capacity. Anyone
violating this statute may be prosecuted criminally.
(i)
Note that the North
Carolina Ethics Act (Ethics Act) also regulates Conflicts of Interest for
“Covered Persons”. Questions regarding
the Ethics Act should be directed to the University Attorney.
(j)
Medicare Anti-Kickback
Law. The Medicare Anti-Kickback
law (42 U.S.C. 1320a-7b(b)) prohibits
compensation from research sponsors that provide or supply healthcare services
or products to researcher-physicians or hospitals for their participation in
clinical research if such compensation is intended to induce physicians or
hospitals to purchase drugs or services of the research sponsor that will be
paid by Medicare or Medicaid.
(k)
False Claims Act. Researchers must certify in their grant
applications that they are in compliance with statutory and regulatory
requirements, including applicable statutes and regulations prohibiting
conflicts of interest. Falsely
certifying compliance could result in criminal prosecution and civil penalties
under the False Claims Act (31 U.S.C.
3729, et seq.),
Activities that are routinely allowable and are not required to be
disclosed pursuant to this policy.
d)
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).
e)
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).
f)
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.
c)
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.
d)
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.
e)
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
c)
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.
d)
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
c)
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.
d)
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.
e)
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
c)
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.
d)
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
d)
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.
e)
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.
f)
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
e)
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.
f)
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.
g)
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
c)
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.
d)
Unauthorized use of privileged information acquired in connection
with one's University responsibilities to further one's own personal interests.
4. Administrative Responsibilities
c)
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.
d)
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
b)
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). COI Procedures
Policy: Effective July 1,
1995, eEach faculty member
and all other EPA eEmployees
will be required to disclose annually
relationships and circumstances that may raise questions about conflicts of interest
and conflicts of commitment relating to University employment responsibilities,
including, but 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, III, and III IV 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 eEmployee 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 EPA employee’s or his/her immediate family’s affairs that may lead to or may be
perceived to lead to a conflict with the faculty member’s EPA employee’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. Unit Administrators shall summarize the
disclosure completed by EPA employees to the Office of Research Compliance
Administration.
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; and
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, the Office of Research Compliance
Administration, and his/her supervisors (up to and including deans of academic units as appropriate) and
presented to the Vice Chancellor of
Research and Graduate Studies of the appropriate division for concurrence. For Category II through IV Conflicts of
Interest, the plan will also be submitted to the appropriate division’s Vice
Chancellor for informational review. 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 report any perceived or potential COI to the sponsor or 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 of any disclosure 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, or if the COI management involves more than disclosure and minor
oversight, 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. Appropriate individuals will be appointed
members to the committee by the Vice Chancellor for Research and 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 Director of Sponsored Programs shall inform the sponsor in accordance to Sponsor policy and
guidelines of the COI. 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 University’s
Office of Research Compliance Administration (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
East Carolina University, from time to time, forms
relationships with profit-making entities (including the holding of equity
interests) for mutual benefit. However,
such relationships may put the University into actual or apparent conflict of
interest situations when accepting grants or contracts from the profit making
entities for research or other activities.
(See exclusion at the end of this section for certain types of
relationships.) To assure that these grants and contracts are performed with
the highest level of integrity by University employees and to assure that the
public maintains it trust in University activities, the following procedures
shall be followed:
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 other regulatory committees human subjects research
protection (for example,
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 Office of Research Compliance
Administration, 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 Office of Research Compliance
Administration or 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.
VIII. External Professional Activity for Pay
Procedures
1.An EPA Employee 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") in a format as described in section 2 of this Part VIII. The Notice of Intent 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 (10) calendar
days before the date the proposed external professional activity for pay is to
begin.
2.The Notice of Intent Format:
The format for giving notice of Intent should follow the sample notice
form.
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 9-month employees, for each component part of the
academic year, as applicable, within the current fiscal year ending June 30:
i.Second summer session (post
July 1) ____
ii.
Fall Semester ___
iii.
Spring Semester ___
iv.
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
9-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:
1.
Will the activity entail the use of any university resources?
(see Section II(G) above and UNC Policy Manual, 300.2.2, Section I, Item G) ___
Yes ___ No
2.
If yes, describe what resources will be used; ____________________
8.
To your knowledge, does the contracting organization provide
funding which directly supports any of your University duties or activities?:
Yes() No()ITo 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 ()
9.
Performance of the above described activity is consistent
with the Board of Governors Policy on Conflicts of Interest and Commitment and
External Professional Activities
Signatures follow..
10.
Each EPA faculty
and EPA non-faculty participating in external activity for pay must report the
activity during the past fiscal year.
Such reports (a sample form for reporting external activity for pay is
available at the Academic Affair’s webpage) will contain the following
information for each external professional activity for pay engaged in during
the last fiscal year preceding the date of filing of a "Notice of
Intent":
11.
Contracting organization;
12.
Beginning and ending date of activity (if completed): 3.
Average hours per week devoted to this activity;
13.
Total number of hours devoted to this activity;
14.
Nature of professional activity;
15.
Date Notice of Intent was filed; and
16.
Administrative Action on Notice of Intent which will have
the following signatures and information:
17.
Signature and date of unit head certifying activity
determined to be consistent with university policy;
18.
Other action (as required);
19.
Signature and date of Dean or Other Administrative Officer
(Approval by dean or next higher administrator is required if the contracting
organization is providing funding to the University or if a family member or
the EPA faculty or EPA non faculty owns equity or hold an office in the
contracting organization) if activity determined not to be consistent with university
policy;
20.
Action on appeal (if any) and date action taken;
21.
Signature and date of Dean or next higher administrator if
appealed; and
22.
Signature of Chancellor if appealed.
23.
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).
3.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 (9) 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.
4.Except as set out in paragraph 5 below, the “Notice of
Intent” shall be considered as follows: If, after a review of the “Notice of
Intent" and consultation with the EPA employee, the unit head determines
that the proposed activity is not consistent with this policy statement of the
Board of Governors and East Carolina University, the EPA Employee shall be
notified of that determination within ten (10) calendar days of the date the
"Notice of Intent" is filed. In the event of such notification by the
unit head, the EPA Employee shall not proceed with the proposed activity but
may appeal that decision to the next higher administrator and then to the
Chancellor or the Chancellor’s designee. A decision on any such appeal shall be
given to the EPA Employee within ten calendar days of the date on which the
appeal is received. The decision of the Chancellor is final. Appeals shall be
made in writing on the "Notice of Intent” form.
5.If question 8, question 9a, or question 9b on the Notice of
Intent, above, is answered in the affirmative the procedure set out in
paragraph 4 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 (10) days of receipt by the next higher administrator, and appeal of
a disapproval by that officer shall be to the Chancellor or the Chancellor’s
designee. In addition, the Vice
Chancellor for Research and Graduate Studies must review the external activity
for management of any Conflicts of Interest and notify the University and
Medical Center Institutional Review Board if the EPA Employee is participating
in a protocol involving human subjects at ECU to ensure compliance with
applicable IRB laws and regulations.
6.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 each July. As initiated by
the UNC General Administration on or before September 1 of each year, the
Chancellor will provide an annual summary report to the President.
7.If the external professional activity for pay is wholly
performed and completed outside of the academic year by EPA employees serving
on academic year contracts, said EPA Employees do not need to file Notices of
Intent with their unit head provided that the activity does not conflict with
this policy statement of East Carolina University and of the Board of Governors
and is not conducted concurrently with a contract service period for teaching,
research, or other services to East Carolina University during a summer session
8.University employees not complying with these procedures
will be subject to disciplinary action. Unit heads are held responsible for
proper reporting.
III IX. Enforcement of the Policies
Faculty and non-faculty EPA
Employees 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.
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 East Carolina
University to its faculty or staff;
(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
Faculty Senate Agenda
December 1, 2009
Attachment 3.
FACULTY GOVERNANCE COMMITTEE
REPORT
Additional Revisions to the ECU Faculty Manual, Appendix D.
Please
note these additional revisions follow those already adopted by the
Also
included here is a link to changes made to the UNC
Code, Section 603 that necessitated revisions specifically to Section VI.
Original proposed
revisions (included in resolutions 09-11, 09-12, and 09-20)
are noted
in bold print and deletions are noted in strikethrough.
Additional
revisions are noted in yellow
highlighted bold print.
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 Review Appeal of Any
Notice of Non-Reappointment or Notice of
Non-Conferral of Permanent Tenure at
the Completion of the probationary Term
A. Deadlines
for Appeals
B. Request
for Hearing with the Faculty Hearing Committee
C. Validation
of the Request for Hearing
C. Procedures
for the Hearing
D. 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 East Carolina University
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. East
Carolina University supports academic freedom of inquiry, discourse, teaching,
research, and publication for all faculty members. See Part
III, Academic Freedom of the ECU
Faculty Manual. East Carolina
University shall not penalize or discipline faculty members because of the
exercise of academic freedom in the lawful pursuit of their respective areas of
scholarly and professional interest and responsibility.
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 College of Arts and Sciences and in professional colleges and schools
whose unit codes describe departmental structures, departmental chairs are the
unit administrators. In schools that do
not have departments described in their unit codes, the dean of the school is
the unit administrator.
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. (Faculty Senate Resolution #03-44)
A. Tenure While Under
Contract to East Carolina University
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 East Carolina
University rather than to employment by The University of North Carolina. The conferral of permanent tenure is allowed
only as the result of the processes enunciated in this document.
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, 610 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 faculty members may be paid or
unpaid, per letter of appointment. Fixed-term appointments are without permanent tenure and do not
entitle the faculty member to consideration for reappointment or conferral of
permanent tenure. The
term of appointment in the appointment letter, and the letter of appointment,
constitute full and timely notice that a new term will not be granted when that
term expires (except as specified
in Section II.B.1). No obligation exists on the part of East Carolina
University to give any notice before a current fixed‑term appointment
expires as to whether a new appointment will be
granted at the end of a specified fixed term. the contract will
be renewed
(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[1]
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.[2] 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, creed, religion,
veteran’s status, gender, age, sexual orientation, political affiliation, or
disability; or (3) personal malice. (Faculty Senate Resolution #03-37)
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. Exceptions to the foregoing contingency
requirement are:
(a) That such a contingency shall not be included in a
promotion to a higher rank if, before the effective date of that promotion, the
faculty member had permanent tenure and no such condition is attached to the
tenure.
(b) That such a contingency shall not be attached to the
faculty member’s contract if the faculty member held permanent tenure in East
Carolina University on July 1, 1975, and the contact was not contingent upon
the continuing availability of sources than continuing state budget or permanent
trust funds.
(c) That such a contingency may be waived for health
affairs faculties because of the unusual dependence of programs in the health
professions on income from sources such as clinical receipts.
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, 610 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 East Carolina
University to give any notice before a current fixed‑term appointment
expires as to whether the contract will be renewed
1. Contract
and Notice
A contract for a fixed‑term appointment shall set
forth in writing the beginning and ending dates of the term, the type of appointment and the pay status
(i.e., paid or unpaid). The specification of the length of the appointment in
the contract/letter of appointment shall be deemed to constitute full and
timely notice of non-reappointment when that term expires Tthis 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. These faculty members are eligible for a new appointment.
The provisions of Section 604 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 East Carolina
University to give any notice before a current fixed‑term appointment
expires as to whether a contract will be renewed for a succeeding term. If a the fixed-term faculty member, not earlier than 180
calendar days nor later than 90 calendar days before the current term expires,
provides the unit administrator with a written request for a new appointment contract renewal, the
unit administrator shall so notify the chair of the unit Personnel Committee.
Within 30 calendar days of receiving the request the Personnel Committee and
the unit administrator shall notify the faculty member in writing of their
respective recommendations and that any recommendation is subject to the
availability of position, funding, administrative approval, and continued
effective performance.
2. Fixed‑Term
Employment Evaluation Policy [cf.
Special Faculty Appointments, The UNC Code, 610 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 a new appointment 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 professor, associate professor, or professor are eligible 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.
1.
Notice
of Reappointment or Non Reappointment. (UNC Code 604).
The decision not to reappoint a faculty member at the
expiration of a term of service shall be made by the appropriate unit committee
and the administrative officers, early enough to permit timely notice to be
given.
For full-time faculty at the rank of instructor,
assistant professor, associate professor, or professor, the minimum requirement
for timely notice shall be as follows:
(a) During the first year of service at East Carolina
University, the faculty member shall be given not less than 90 calendar days’
notice before the employment contract expires.
(b) During the second year of continuous service at East Carolina
University, the faculty member shall be given not less than 180 calendar days’
notice before the employment contract expires.
(c) After two or more years of continuous service at East
Carolina University, the faculty member shall be given not less than 12 months’
notice before the employment contract expires.
Notice of reappointment or non reappointment shall be
written. If the decision is not to reappoint, then failure to give timely
notice of non reappointment will oblige the chancellor thereafter to offer a
terminal appointment of one academic year.
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.
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 East
Carolina University, no fewer than 180 calendar days of notice of reappointment
or nonreappointment shall be given before the employment contract expires. During the third and all succeeding years of
continuous service, the faculty member shall be given not fewer than twelve
months notice of reappointment or nonreappointment before the employment
contract expires.
2. 1. Probationary Terms
Although the chancellor may recommend that a faculty member
be granted permanent tenure at any time, 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. 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).
3. 2. Reduction
of the Normal Probationary Term for Previous Academic Employment
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.
4. 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 must 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.
5. 4. Progress Toward Tenure Letters
Each Spring semester, the unit Tenure Committee and unit
administrator will review the annual reports
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. This letter will address the cumulative
expectations of the candidate’s contributions to date. 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.
6 Request for Early Permanent Tenure 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.[3]
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. (Faculty Senate Resolution #02-05)
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.[4]
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 East Carolina University and a greater than
one/half time position in the unit, and
·
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). (Faculty Senate
Resolution #03-30)
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[5]
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 East Carolina University. External peer review of the quality of the
research and creative activity material submitted by the candidate for
promotion or conferral of permanent tenure or both will be used by the
appropriate committee in conjunction with its own evaluation of the material.
Qualifications of the reviewers and criteria for their selection are to be
determined by the faculty of each unit.
According to the provisions of unit codes, other materials that reflect
the candidate’s scholarly activities may be included in the selection to be
sent to external reviewers.
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
Sample
of an External Review Letter (used by both Academic Affairs and Health
Sciences)
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. Within 7 calendar
days after receipt, the unit administrator will provide candidates for Tenure
and/or Promotion with copies of their external review letters.
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 recommendations for new
appointments contract renewal recommendations for
faculty members currently
holding fixed-term appointments, each member of the unit Personnel Committee
will indicate by secret ballot his or her choice for or against the recommendation recommending a 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 a new appointment 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 a new appointment. contract renewal.
(Faculty Senate Resolution #03-30).
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. (Faculty
Senate Resolution #03-30)
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. (Faculty
Senate Resolution #03-30)
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 non
concurrence. If the vice
chancellor decides not to recommend reappointment, promotion, and/or conferral
of permanent tenure, the vice 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 as appropriate[6] .
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, as appropriate.
V. Procedure
for Review Appeal of Any Notice of Non-Reappointment or Notice of
Non-Conferral of Permanent Tenure at the Completion of the
Probationary Term.
A. Deadlines for Appeal Review
Failure to
submit the review appeals documents specified in this section
within the time periods allotted constitutes a waiver of the right to have
the decision reviewed 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 Hearing
Committee. individual or committee who is next to consider the appeal.
Within 10 calendar working days of receiving a request for extension,
decisions on requests for extension of time shall be made by the Hearing
Committee. individual or committee who is next to consider the appeal.
The Committee will endeavor to complete the review within the time limits
specified except under unusual circumstances
such as when the time period includes official university breaks and holidays
and when, despite reasonable efforts, the Committee cannot be assembled.
B. Request
for Hearing with the Faculty Hearing Committee
Within 25 calendar
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 (as per Appendix D, Section IV). Members shall be elected in accordance with
the procedures for election of appellate committees specified in the Bylaws of
the East Carolina University Faculty Senate. Members and alternates shall be
elected to three-year terms. A quorum for the committee shall be the five
members or their alternates.
Upon
organization, the members of the Hearing Committee shall elect a chair and a
secretary. Because hearings in matters of non-reappointment or conferral of
permanent tenure can present complex and difficult questions of fact, policy
and law, and because of the central role of the committee in gathering and
preserving the evidence upon which most subsequent decisions related to the
matter will be based, it is important for the chancellor to ensure that faculty
committee members, as well as relevant administrators and aggrieved faculty
members, 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. (Faculty
Senate Resolution #03-49)
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 membership of the
committee falls below the specified five members and five alternates, the
Faculty Senate will elect additional faculty members to the committee. Vacancies on the committee will be filled
first by moving alternates to regular member status and by electing new
alternates and/or members as needed to fill the committee roster.
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 regular 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) regarding following the committee action(s) during the review. (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.[i][i]
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, color,
sex, religion, creed, national origin, age, disability, veteran’s status honorable service in the armed services of the
United States or other forms of discrimination prohibited under policies adopted by
campus Boards of Trustees, or (c) personal malice. For purpose of this section, the term ‘personal malice’ means dislike,
animosity, ill-will, or hatred based on personal characteristics, traits, or
circumstances of an individual.” (See UNC Policy 101.3.1.II.B for details)
"Material
procedural irregularity" means a departure from prescribed procedures
governing reappointment and conferral of permanent tenure that is of such
significance as to 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, and whether it is material, 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. (Faculty Senate
Resolution #03-49)
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 and (f) a copy of the
vice chancellor’s notice of non-reappointment or non-conferral of permanent
tenure. The
complainant's request for a hearing shall be made to the chair of the Hearing
Committee and delivered to the Faculty Senate office by a
method that provides delivery verification.
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 calendar 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 4 calendar days 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 Faculty
Senate office 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. (Faculty Senate Resolution
#99-4)
The
complainant, within 10 calendar days of receipt of the Hearing Committee's
decision, may accept the decision of the Hearing Committee not to validate a
hearing or may appeal to the chancellor the decision not to conduct a
hearing. The chancellor, within 14 calendar days of the
complainant's appeal, shall decide to confirm the committee's decision or shall
support the complainant's request for a hearing. (Faculty Senate Resolution #99-4)
The
complainant, within 10 calendar days following receipt of the chancellor’s
decision, may accept the chancellor's confirmation of the Hearing Committee's decision
not to validate a hearing or may appeal to the Board of Governors the decision not to conduct a hearing. (Faculty Senate Resolution
#99-4, #03-49)
If the
committee validates the request for a hearing, or if 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.
C. Procedures for the Hearing.
1. Time and Date of Hearing
After
receiving the request for a 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 42 calendar days after receiving the request, working days of
the notification to the complainant that the request for a hearing was
validated, except under unusual circumstances such as when a
hearing request is received during official university breaks and holidays and
despite reasonable efforts the hearing committee cannot be assembled. 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 21 calendar 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 North
Carolina and/or whether or not that person is “representing” the employee). Within 14 days before the hearing, the complainant
and respondent will submit documents and a list of witnesses to be used in the
hearing.
2. Conduct of the Hearing
The chair
of the Hearing Committee or an regular 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, the respondent(s), and one person who may advise the
respondent(s). If there is more than one
respondent, the respondents will designate a spokesperson for the hearing.
There will be an equal number of persons advising the complainant and
respondent(s). The person advising the complainant but who may not
take an active part in the proceedings. The person advising the
respondent(s) at the hearing may be the respondents, either an
East Carolina University faculty member (with or without administrative
appointment) selected by the Chancellor or an East
Carolina University attorney, if the complainant is accompanied by an
attorney. The person advising the respondent(s)
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. (Faculty Senate
Resolution #03-37)
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. (Faculty Senate Resolution #03-49)
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 spokesperson 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 spokesperson representative, may cross-examine
opposing witnesses. Committee members may question witnesses for purposes of
clarification. At the conclusion of the
hearing, the complainant may make a summary statement of up to ten minutes
in duration. If the complainant elects to do so, then the respondent(s),
through their spokesperson, will be given the same opportunity the complainant and
then the respondent(s) will be given the opportunity to provide summary
statements.
D. 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 calendar 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. The standard applied by the committee being that the
evidence is clear and convincing by the greater weight shall be that the
preponderance of the evidence to establishes 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 14
calendar 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. (Faculty
Senate Resolution #03-37)
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 42 calendar
30 working days after receiving the
recommendation of the Hearing Committee and
the transcript, 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 within 14 calendar
10 working days that a joint meeting with the committee
occur. 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 42 calendar 30
working day period. in the
preceding 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
14 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 fourteen 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 manner matter. (Faculty Senate Resolution #03-49).
The purpose of the
appeal to the Board of Governors is to assure (1) that the campus-based process
for reviewing the decision was not materially flawed, so as to raise questions
about whether the faculty member’s contentions were fairly and reliably
considered, (2) that the result reached by the chancellor was not clearly
erroneous, and (3) that the decision was not contrary to controlling law or policy.
[ii]
No appeals for denial of
early tenure will be heard by the Board of Governors.
VI. Due Process Before Discharge or the
Imposition of Serious Sanctions
A. Sanctions Penalties
A faculty member who is the beneficiary of institutional
guarantees of tenure shall enjoy protection against unjust and arbitrary
application of disciplinary sanctions penalties. During the period of such guarantees, the
faculty member may be discharged from
employment, suspended, or demoted in rank or serious sanctions may be imposed or
suspended from employment or diminished in rank only for reasons of:
1. incompetence, including significant, sustained unsatisfactory performance after the
faculty member has been given the opportunity to remedy such performance and
fails to do so within a
reasonable time;
2. neglect of duty, including sustained failure to meet
assigned classes or to perform other significant faculty professional
obligations; or
3. misconduct of such a nature as to
indicate that the individual is unfit to continue as a member of the faculty, including violations of professional
ethics, mistreatment of students or other employees, research misconduct,
financial fraud, criminal or other illegal, inappropriate or unethical conduct.
To justify serious disciplinary actions, such misconduct should be either: (i)
sufficiently related to a faculty member’s academic responsibilities as to
disqualify the individual from effective performance of university duties, or
(ii) sufficiently serious to adversely reflect on the individual’s honesty,
trustworthiness or fitness to be a faculty member.
These sanctions penalties
may be imposed only in accordance with the procedures prescribed in this
section. For purposes of the Faculty
Manual 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 the faculty from employment or to impose serious sanction, together with a written specification of the
reasons suspend from employment or to diminish in rank (these sanctions penalties hereinafter
in Section VI are referred to as “the
sanction” "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.). (Faculty Senate
Resolution #99-10)
C. Penalty Without
Recourse
If, within 14 calendar
[1][i]
10 working
days after the faculty member receives the notice and written specification of the reasons 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 discharged or serious sanction imposed 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 shall timely submit a 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 10 calendar 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. (Faculty Senate Resolution
#99-10).
If the faculty member shall submit a timely
request for a hearing, the Chancellor shall ensure a process is in place so
that the hearing is timely accorded before the Due Process Committee.
E. Due Process Committee
The Due Process Committee (hereinafter “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 per Appendix D, Section IV. Members
shall be elected in accordance with the procedures for election of appellate
committees specified in the Bylaws of the East Carolina University Faculty
Senate. Members and alternates shall be elected to three-year terms. A quorum
for the committee shall be the five members or their alternates. Upon organization, the members of the Due Process Committee shall elect a
chair and a secretary. Should any cCommittee
officer be absent at the beginning of a hearing, the cCommittee shall elect an
alternate officer for the purposes of the hearing.
When the cCommittee is convened to consider any matter
associated with a faculty member's request for a hearing, those cCommittee
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 cCommittee related to this specific request for a
hearing. The faculty member and the vice
chancellor with supervisory authority are permitted to challenge cCommittee
members for cause. The other members of
the cCommittee
will decide on any potential disqualifications if a cCommittee member is so challenged but wishes to
remain. (Faculty Senate Resolution #99-10)
When membership of the cCommittee falls below the specified five members
and five alternates, the Faculty Senate will elect additional faculty members
to the committee. Vacancies on the
committee will be filled first by moving alternates to member status and by
electing new alternates and/or members as needed to fill the committee roster.
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 cCommittee
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. (Faculty
Senate Resolution #99-10)
The cCommittee 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 cCommittee
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 Committee shall accord the faculty
member 30 calendar days from the time it receives the faculty member’s written
request for a hearing to prepare a defense. 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. The
date for the hearing must be within 30 working calendar 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 cCommittee
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. The Committee will ordinarily endeavor to
complete the hearing within 90 calendar days except under unusual circumstances
such as when a hearing request is received during official university breaks
and holidays and despite reasonable efforts the Committee cannot be assembled.[1][i]
2. Conduct of Hearing
The hearing shall be on the written
specification of reasons for the intended discharge
or imposition of a serious sanction penalty. The chair of the Due
Process Committee, or an
elected member of the cCommittee
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 cCommittee's members and alternates, the faculty
member requesting the hearing, counsel for the faculty member, the vice
chancellor with supervisory authority, or
his/her designee, and/or and counsel
for the vice chancellor. Other persons (witnesses) providing information to the
cCommittee
shall not be present throughout the hearing, but shall be available at a
convenient location to appear before the cCommittee 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.
(Faculty Senate Resolution #03-37). The
hearing shall be closed to the public unless both the faculty member and the
Committee agree that it may be open.
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, his/her designee, 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, his/her designee, or his/her his or her counsel, and the faculty member or his/her his or her
counsel, shall have the right to
confront and cross-examine adverse witnesses, and to make argument 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, or his/her designee, will be given the
opportunity to provide summary statements. (Faculty Senate Resolution
#99-10).
G. Procedures After
the Hearing
After the hearing, the cCommittee shall meet in executive session and begin
its deliberations or shall adjourn for no more than two calendar working days, at which time it shall
reconvene in executive session. In
reaching its decisions the cCommittee shall consider only the testimony and
other materials entered or presented as evidence during the hearing and such written or oral arguments as the
committee, in its discretion, may allow. The University has the burden of
proof. In evaluating evidence, the Committee shall use the standard of “clear
and convincing” evidence in determining whether the institution has met its
burden of showing that permissible grounds for serious sanction exist and are
the basis for the recommended action.
Within 14 calendar 10 working days of finishing its deliberations or after the full transcript is received,
whichever is later, the cCommittee
shall provide the faculty member[1][i]
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 cCommittee shall state whether or not it
recommends that the intended sanction penalty be imposed (Faculty Senate Resolution #03-37).
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 calendar 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 cCommittee
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 cCommittee
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 filed received by the chancellor within 14 calendar 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 as soon
as reasonably possible 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 14 calendar ten days
after receiving the trustees' decision, file a written notice of
appeal, by certified mail, return receipt requested, or by another means that
provides proof of delivery, file a written petition for review
to the Board of Governors by
alleging 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 appeal 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 [1][i];
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 reassign the individual to other duties or 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 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 attempted delivery 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 Faculty Senate. Members and alternates shall be
elected to three-year terms. A quorum
for the committee shall be the five members or their alternates.
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. (Faculty
Senate Resolution #03-37)
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. (Faculty
Senate Resolution #03-37)
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. (Faculty Senate
Resolution #99-4)
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 ensure 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[iii] (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[7][1];
if the responsible decision makers are in accord, normally no such appeal will
be entertained by the Board of Trustees 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 Trustees 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 regulatins 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
University of North Carolina.
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
Faculty Senate, Chancellor, Senior Vice President for Academic Affairs/General
Counsel, and President of UNC System.)
Approved
(entire document)
Faculty Senate Resolution #06-19
January 9,
2007
Erskine Bowles, President of UNC
System
1References
to the chancellor's designee shall include and be limited to the vice
chancellor for academic affairs and the vice chancellor for health sciences.
2The
chancellor, in consultation with the office of the Faculty Senate, is
responsible for the publication of the Faculty
Manual. The Senate office shall be responsible
for the maintenance of the Faculty Manual. The Faculty Manual shall contain the tenure
and personnel policies and regulations of East Carolina University, including
the complete text of Chapter Six of The Code of The University of North Carolina.
The Faculty Manual shall be provided
to new faculty and changes as they occur shall be distributed to each faculty
member.
3A faculty member considering
such action is encouraged to seek consultation with the unit Personnel
Committee and the unit administrator. When a faculty member applies
for and then withdraws a request for early consideration for permanent tenure,
a copy of all documents submitted to support the request and a record of all
decisions by the appropriate committee
and any administrator(s) shall be directly forwarded to the appropriate vice
chancellor. Because a
faculty member will be considered for permanent tenure if he or she reaches the
end of the probationary term, denials of requests for permanent tenure made
before the end of the probationary term are not subject to appeal.
4 A faculty
member considering such action is encouraged to seek consultation with the unit
Personnel Committee and the unit administrator.
When a faculty member applies for and then withdraws a request for
promotion, a copy of all documents submitted to support the request and a
record of all decisions by the appropriate committee and any administrator(s)
shall be directly forwarded to the appropriate vice chancellor.
[5] Except as provided herein, meetings of the
committees shall be conducted according to the most recent edition of Robert's Rules of Order, Newly Revised.
[6] Appeals of all nonreappointment and the nonconferral
of permanent tenure at the end of the contract period may be filed in
accordance with the provisions of Section V of this Appendix. Also, appeals of
Nonreappointment coupled with the nonconferral of early permanent tenure may be
filed in accordance with the provisions of Section V of this Appendix. Denial of promotion may be filed in
accordance with the provisions of Appendix Y. A grievance (Appendix Y) may be
filed in response to a denial of promotion and/or early permanent tenure.
[7][1]
A faculty member receiving a notice of non-conferral of
early permanent tenure may file a grievance in accordance with Appendix Y. The Board of Trustees will remain
responsible for reviewing, on appeal, a grievant’s contention that the
chancellor’s decision (or affirmance of a faculty committee decision) was
clearly erroneous.