POL 05.20.01 - Appointment, Reappointment, Promotion and Permanent Tenure

Authority: Board of Trustees

History: First Issued: November 27, 1973. Last Revised: November 5, 2013.

Related Policies: 
UNC Code Chapter VI - Academic Freedom and Tenure
NCSU POL01.05.08 - Faculty and EPA Non-Faculty Appeals to Board of Trustees
NCSU POL05.15.01 - Employees Exempt from the State Personnel Act (EPA) Policy
NCSU POL05.25.01 – Faculty Grievance and Non-Reappointment Review Policy
NCSU POL05.30.01 - Medical and Parental Leave for 9-Month Faculty
NCSU REG01.20.01 - Delegations of Authority for Appointments, Compensation and Other Personnel Actions for Employees Exempt from the State Personnel Act (EPA)
NCSU REG05.20.03 - Annual Reviews of Faculty Members
NCSU REG05.20.04 - Post Tenure Review of Faculty
NCSU REG05.20.05 - Consultation and Written Assessments, Recommendations and Responses in RPT Review
NCSU REG05.20.10 - Evaluation of Teaching
NCSU REG05.20.20 – Reappointment, Promotion and Tenure Dossier Format Requirements
NCSU REG05.20.27 - Statements of Mutual Expectations
NCSU REG05.20.31 - Tenure Clock
NCSU REG05.20.34 – Non-Tenure Track Faculty Ranks and Appointments
NCSU REG05.25.05 - Faculty Discharge Hearing Procedures
NCSU REG05.57.01 - Phased Retirement Program for Tenured Faculty

Additional References:
RPT Information Site

College and Department RPT Rules
Standard Operating Procedure to Award or Remove Associate Faculty Status
N.C.G.S. §135 - Retirement System for Teachers and State Employees
Documenting Compliance with SACS and University Qualifications for Teaching Assignments

Contact Info: Vice Provost for Faculty Affairs (919-513-7741)


1. INTRODUCTION

This policy is adopted pursuant to UNC Code Chapter VI - Academic Freedom and Tenure (The Code).  It addresses the following:

2.  DEFINITIONS OF ACADEMIC TENURE AND PERMANENT TENURE
3.  CHANCELLOR’S AUTHORITY
4.  TENURE TRACK FACULTY QUALIFICATIONS FOR RANK AND INITIAL APPOINTMENTS
5.  STANDARDS FOR APPOINTMENT, REAPPOINTMENT, PROMOTION AND CONFERRAL OF TENURE
6.  PROCEDURES FOR INITIAL APPOINTMENT
7.  PROCEDURES FOR REAPPOINTMENT, PROMOTION AND CONFERRAL OF TENURE
8.  IMPOSITION OF SERIOUS SANCTIONS
9.  SEPARATION OF FACULTY EMPLOYMENT

This policy and provisions of UNC Code Chapter VI - Academic Freedom and Tenure, as amended from time to time, constitute the tenure policies and regulations of North Carolina State University (hereinafter referred to as the university or NC State).  This policy shall be cited in appointment and reappointment letters sent to individual faculty members.

1.1  The university incorporates as part of this policy the principles of freedom and responsibility in the university community as set forth in Section 600 of The Code.

1.2  The university incorporates as part of this policy the rights and responsibilities of the faculty under the principles of academic freedom as set forth in Section 601 of The Code.

1.3  The university may designate non-tenure track faculty as set forth in Section 610 of The Code.  Non-tenure track ranks, contracts and subsequent contracts are addressed in NCSU REG05.20.34 – Non-Tenure Track Faculty Ranks and Appointments.

2.  DEFINITIONS OF ACADEMIC TENURE AND PERMANENT TENURE

2.1  Academic Tenure

The purpose of academic tenure is to promote and protect the academic freedom of the faculty.  It also assists the university in attracting and retaining faculty members of high quality.  Academic tenure refers to the conditions and guarantees that apply to a faculty member's employment, in particular the protection from discharge from, or termination of, employment, and from imposition of serious sanctions on a faculty member, except upon grounds and in accordance with sections 8 and 9 of this policy.  Academic tenure applies exclusively to faculty with permanent tenure, faculty on probationary (tenure-track) appointments and faculty with fixed term appointments as further described in NCSU REG05.20.34 – Non-Tenure Track Faculty Ranks and Appointments.

2.2  Permanent Tenure

Permanent tenure (“appointment with tenure” or “tenured appointment”) is academic tenure conferred upon faculty with appointments that are continuous until retirement, resignation or death.  Permanent tenure may be conferred only pursuant to this policy and by action of the President and the Board of Governors of the University of North Carolina, or by such other agencies or officers as may be delegated such authority by the Board of Governors.  Hereinafter, all references to tenure shall mean permanent tenure.

2.3  In all instances, the tenure conferred on a faculty member is held with reference to employment by NC State , rather than to employment by the University of North Carolina (UNC Code Section 602).

3.  CHANCELLOR’S AUTHORITY

3.1  The Chancellor or Chancellor’s designee shall have approval authority for faculty appointments, reappointments, promotions, and conferrals of tenure, consistent with NCSU REG01.20.01 - Delegations of Authority for Appointments, Compensation and Other Personnel Actions for Employees Exempt from the State Personnel Act (EPA) and subject to further approvals as required by Section 602(5) of The Code and UNC Policy Manual Section 600.3.4.

3.2  Upon receiving recommendations for the conferral of tenure from the Provost, the Chancellor will forward his recommendations to the University Affairs Committee of the Board of Trustees for final approval.

3.3  Upon receiving recommendations for promotions from the Provost, the Chancellor has responsibility for final approval of promotions.

4.  TENURE TRACK FACULTY QUALIFICATIONS FOR RANK AND INITIAL APPOINTMENTS

Qualifications for academic rank shall be determined by the Chancellor upon recommendations from the Faculty Senate and the University Council and are set forth here.

Tenure-track faculty appointments are those to which consideration for permanent tenure applies and for which there is an established time frame during which a decision to reappoint or confer tenure must be made, as provided in the following sub-sections.

In addition to qualifications required for academic rank, NC State has published guidelines for the credentials required for faculty teaching at all course levels. For faculty who teach, departments must have documentation that each faculty member is qualified to teach the course, either baesd on degrees attained or alternative credentials. For these guidelines and instructions on how to document credentials, see "Documenting Compliance with SACS and University Qualifications for Teaching Assignments" on the Office of the Provost's website.

4.1  Instructors

Appointment to the rank of Instructor is appropriate for an individual who has been selected for a tenure-track appointment at NC State but has not yet completed the required terminal degree.  An Instructor shall be appointed for an initial probationary term of one (1) year and may be reappointed to one (1) additional probationary one (1) year term.

4.1.1  Upon award of the required degree or prior to the end of the second probationary one (1) year term, whichever comes first, the Department Head, after consultation according to the procedures set forth in section 6.2 of this policy, shall review the Instructor’s performance and recommend to the Dean either 1) that the Instructor be appointed to an appropriate term as Assistant Professor in accordance with section 4.2 or 2) that the instructor’s appointment end on the current contract end date.

4.1.2  Minimum Required Qualifications

4.1.2.1  Ability or potential in the mutually agreed upon realms of responsibility.

4.1.2.2  A master's degree, an equivalent degree, or equivalent professional experience.

4.2  Assistant Professors

Appointment to the rank of Assistant Professor is the entry-level professorial appointment.  An Assistant Professor shall be appointed for an initial probationary term of four (4) years.  In cases where the appointment occurs prior to or subsequent to the start of the regular academic or fiscal year, the initial probationary term may be adjusted to coincide with the appropriate reappointment, promotion and tenure cycle, but shall not result in an initial term of fewer than three (3) years or greater than four (4) years and six (6) months, with an end date of May 15 for academic year contracts or June 30 for fiscal year contracts.

4.2.1  Before the end of the third year of the initial term (in order to allow at least 12 months notice should the decision be not to reappoint), the Department Head (or equivalent designee), after consultation with the Departmental Voting Faculty (DVF) as set forth in section 7.2.1 of this policy, shall review the Assistant Professor's performance and recommend to the Dean either 1) that the Assistant Professor be reappointed for a second term of three (3) years which is appended to the initial four (4) year term, or 2) that the Assistant Professor not be reappointed.

4.2.2  If the Assistant Professor is appointed to a second term under section 7 then before the end of the second year of that appointment (in order to allow for 12 months notice in case of termination), the Department Head and Dean (or equivalent designees), after consultation according to the procedures set forth in section 7 of this policy, shall each review the Assistant Professor’s performance and recommend to the Provost either 1) that the Assistant Professor be promoted with tenure or 2) that upon the expiration of the term of appointment the Assistant Professor not be reappointed.  In the case of a decision not to promote and confer tenure, the Dean may recommend, and the Provost may approve, a recommendation and decision during the remaining term of the appointment, to promote and confer tenure based upon new information documenting required performance representing a significant change in the status of information included in the dossier that was the basis for the denial of promotion and non-conferral of tenure.

4.2.3   The decision and notification regarding conferral of tenure shall not be postponed beyond the eighth year of service (including any approved extensions) from the first appointment as Assistant Professor.  In extraordinary circumstances, the Chancellor may approve postponing the decision and notification regarding conferral of tenure beyond the eighth year of service.

4.2.4  Minimum Required Qualifications

4.2.4.1  Ability or definite promise in the mutually agreed upon realms of responsibility.

4.2.4.2  Potential for directing activities in the mutually agreed upon realms of responsibility.

4.2.4.3  Ability and willingness to participate in department, college and university affairs.

4.2.4.4  A doctor's degree, an equivalent degree, or equivalent professional experience.

4.3  Associate Professors

An Associate Professor promoted to that rank by the university shall have tenure.

4.3.1  An Associate Professor coming to that rank from outside the university may either be appointed with tenure or for one (1) probationary appointment not to exceed five (5) years.  In cases where the appointment occurs prior to or subsequent to the start of the normal academic or fiscal year, the initial probationary term must be adjusted to coincide with the appropriate reappointment, promotion and tenure cycle, but shall not result in an initial term of fewer than three (3) years and six (6) months or greater than five (5) years, with an end date of May 15 or June 30.

In the case of a probationary appointment, before the end of the next-to-last year of the appointment, the Department Head and Dean (or equivalent designees), after consultation according to the procedures set forth in section 7, shall each review the associate professor's performance and recommend to the Provost either 1) that the Associate Professor be reappointed with tenure at the same or higher rank or 2) that upon the expiration of the term of appointment the Associate Professor not be reappointed.  If the review and decision for conferral of tenure is carried out prior to the next-to-last year of the appointment, it will not be considered an early action (i.e. before the mandatory review date).

4.3.2  In the case of a decision not to promote and confer tenure, the Dean may recommend and the Provost may approve a recommendation and decision during the remaining term of the appointment to confer tenure based upon new information documenting required performance representing a significant change in the status of information included in the dossier that was the basis for the denial of promotion and non-conferral of tenure.

4.3.3  Minimum Required Qualifications

4.3.3.1  Recognized ability and potential for distinction in the mutually agreed upon realms of responsibility.

4.3.3.2  Demonstrated ability to direct activities in the mutually agreed upon realms of responsibility.

4.3.3.3  Demonstrated ability and willingness to participate in department, college and university affairs.

4.3.3.4  A doctor's degree, an equivalent degree, or equivalent professional experience.

4.4  Professors

A professor shall have tenure, whether promoted to that rank by the university or hired from outside the university.

4.4.1  Minimum Required Qualifications

4.4.1.1  Distinguished achievement in the mutually agreed upon realms of responsibility.

4.4.1.2  Demonstrated ability to direct activities in the mutually agreed upon realms of responsibility.

4.4.1.3  Established reputation in the individual's profession or field of scholarly or germane creative activity.

4.4.1.4  Demonstrated ability and willingness to participate in department, college and university affairs.

4.4.1.5  A doctor's degree, an equivalent degree, or equivalent professional experience.

4.5  Exceptions to Terms

4.5.1  If exceptional circumstances warrant, this policy shall not preclude promotion or the conferral of tenure according to a time frame different from that set forth in sections 4.2 and 4.3.

4.5.2  The Chancellor or Chancellor’s designee (the Provost) may grant an untenured faculty member an extension of the time period during which the institutional decision must be made regarding reappointment or conferral of tenure in cases of compelling circumstances. The normal extension is one (1) year; however, other extensions may be approved in exceptional cases.  Approval of an extension must be in writing and will extend the term of the current appointment.

4.5.3  A faculty member will be awarded an automatic extension in cases of a new child in the family by birth, adoption or placement of a foster child or of approved family medical leave of sixty (60) calendar days or longer.

4.5.4  If not an automatic extension, a faculty member must request an extension in accordance with procedures established by the Chancellor or Chancellor's designee (the Provost) in NCSU REG05.20.31 - Tenure Clock.

4.5.5  For a faculty member who does not hold permanent U.S. residency status, tenure shall be contingent upon the individual having filed for permanent U.S. residency, and either being granted permanent U.S. residency or remaining in a valid immigration status continuously until permanent U.S. residency is granted.

5.  STANDARDS FOR APPOINTMENT, REAPPOINTMENT, PROMOTION, AND CONFERRAL OF TENURE

NC State values, above all, excellence and distinction in creative scholarship that facilitates the increase and diffusion of knowledge, wisdom, and the moral dimensions of intelligence.

5.1  General Standards

The general standards upon which appointment, reappointment, promotion, and conferral of tenure are to be recommended include an assessment of at least the following: demonstrated professional competence in the appropriate mix of the realms of responsibility (see 5.2) as defined by each academic unit's Reappointment, Promotion and Tenure Standards and Procedures rule and agreed upon in each faculty member's Statement of Mutual Expectations; potential for future contributions; and service to the university, the academic community, and society.  The individual's contributions shall be considered in a manner that is appropriate to each individual appointment, and recommendations shall be consistent with the needs and resources of the university.

5.2  Faculty Goals and Realms of Responsibility

Creative scholarship in all of the following six (6) realms of faculty responsibility is valued and rewarded by NC State.  Scholarly contributions in an appropriate mix of these six (6) realms must be -- both in fact and in faculty perceptions -- the principal criteria for decisions about faculty reappointment, promotion, and tenure.  The nature of the “appropriate" mix is defined by each academic unit’s Reappointment, Promotion and Tenure rule and agreed upon in each faculty member’s Statement of Mutual Expectations.

5.2.1  Teaching and Mentoring of Undergraduate and Graduate Students

Transmission of knowledge to students and the development of wisdom are two primary reasons universities exist.  The goal is to develop students who can play effective and socially constructive roles in a wide variety of institutions and endeavors and who can understand their service in a global and societal context.  Knowledge, insights, and understanding are transmitted through disciplinary, interdisciplinary, and multidisciplinary learning.

5.2.2  Discovery of Knowledge through Discipline-Guided Inquiry

Such inquiry involves inductive and deductive reasoning; qualitative and quantitative methodologies; hypotheses and propositions; measurements; accumulation of evidence; analysis and argument; interpretation and evaluation; and communication/publication of findings, concepts, and conclusions.  Basic research is inquiry aimed at understanding the world around us.  Applied research is inquiry aimed at enhancing the arts of teaching and learning, management of nature and human institutions, and developing practices and technologies useful to society.  Discovery of knowledge can be achieved by working either as an individual or as part of a collaborative team.

5.2.3  Creative Artistry and Literature

Creative artistry involves the creation, production, interpretation, and evaluation of cultural artifacts that generate new insights and interpretations with the potential to inspire and advance the quality of life in society.  Creative artistry can be expressed through literary, performing, fine, and applied arts.

5.2.4  Technological and Managerial Innovation

Technological innovation provides the means by which knowledge and imagination in the sciences, humanities, and creative arts can be harnessed to drive the economic and social systems of the state, nation, and world, and ultimately, provide new products, processes, and services.

5.2.5  Extension and Engagement with Constituencies outside the University

Engagement with people and organizational constituencies outside the university are the principal means by which NC State and other land-grant universities fulfill their unique mission.  Accomplishments in extension and engagement represent an ongoing two-way interchange of knowledge, information, understanding, and services between the university and the state, nation, and world.

5.2.6  Service in Professional Societies and Service and Engagement within the University itself.

Complex research-extensive universities and discipline-focused scientific and professional societies simply do not work effectively, efficiently, or for long, without the dedicated and continuing investment of university faculty time and creative energy in the programs and governance of these organizations.  Thus, service to and engagement within all parts of the university and its affiliated organizations, including professional scientific and literary associations is valued, appreciated, and rewarded by NC State.

6.  PROCEDURES FOR INITIAL APPOINTMENT

6.1  Documentation

For initial appointments, the Department Head shall assemble documentation as appropriate.

6.2  Consultation

Decisions for appointment are dependent on substantive consultation with tenured faculty by Department Heads and Deans who are responsible for these decisions.

6.2.1  Departmental Consultation - It is the responsibility of the DVF to participate in this consultation at the departmental level.  The DVF (defined in sections 6.2.2 and 6.2.3) shall have full access to the documentation prepared for each candidate and the opportunity and responsibility to meet as a group with the Department Head to consider the matter confidentially.  In each case of initial appointment, a vote shall be taken either by secret ballot or open ballot, with the method of voting to be decided by a majority vote of the departmental voting faculty.  Faculty members who cannot attend the meeting shall be permitted to vote in accordance with departmental rules.

6.2.2 

a. For initial appointments, the DVF shall consist of tenured faculty of any rank.  The DVF may consult with other departmental faculty prior to voting.

b. The membership of the DVF in departments that appoint faculty only on non-tenure track contracts may vary from the definition in section a.  For these exceptions, see section 8.1.3 of REG05.20.34 Non-Tenure Track Ranks and Appointments .

6.2.3  If tenure is to be awarded with an initial appointment, a second vote is taken and recorded.  The DVF for Associate Professors being hired with tenure includes all tenured Associate Professors and Professors.  The DVF for Professors that must be hired with tenure includes all tenured Professors. If tenure is to be awarded with an initial joint or interdisciplinary appointment, approval will be based on input from appropriate faculty members outside the department as described in Sections 7.2.1.3 and 7.2.1.4.

6.3 Joint and Interdisciplinary Appointments

6.3.1 Joint Appointments.

a. In the case of joint appointments, in which portions of the faculty member’s salary come from more than one department, one department will be designated by the college dean(s) as the home department, usually the department with the higher percentage than the other appointing department(s), and will be responsible for appointment procedures. Based on agreement among the department heads and dean(s), the appointment will be approved by the home department with input from the DVF of the other appointing department(s).

b. At the time of the appointment and in consultation with the faculty member, the Department Heads shall develop a written plan for how annual reviews and reappointment, promotion, and tenure reviews will be conducted to ensure input from the appointing department(s).  The plan will be shared with the DVF of each department and will be approved by the Dean(s) of the appointing departments.

c. The faculty member will be a DVF member in the home department when required rank and tenure are achieved.  The DVF of other department(s) in the joint appointment will stipulate at appointment whether the faculty member will be a DVF member when required rank and tenure are achieved and whether he or she will have voting rights in other  department affairs. 

6.3.2. Interdisciplinary Appointments

a. In the case of an appointment in which the work of the appointee is expected to be substantively interdisciplinary, the head of the faculty member’s home department shall receive recommendations from tenured faculty of appropriate rank outside the department who are familiar with the interdisciplinary focus and activitites of the faculty member, including the coordinators (s) of interdisciplinary program(s) to which the faculty member will be assigned.  This may be achieved in either or two ways: (1) with input by appropriate interdisciplinary faculty members in the deliberations of the DVF or (2) by the Dean’s creation of an interdisciplinary search committee made up of faculty from the home department and appropriate interdisciplinary faculty members to recommend the appointment.

b. At the time of the appointment and in consultation with the faculty member and the coordinators (s) of interdisciplinary program(s) to which the faculty member will be assigned, the Department Head shall develop a written plan for conducting annual reviews and reappointment, promotion, and tenure reviews that include input from faculty outside the department who are familiar with the interdisciplinary focus and activities of the faculty member.  This plan will be shared with the DVF and approved by the Dean and, if the appointment is in more than one college, by the Provost.

6.4  Recommendations and Decisions

6.4.1 Recommendation of Department Head

In the case of an initial appointment at any rank and tenure status, the Department Head shall make a recommendation to the Dean and report the vote of the DVF as described in section 6.2.1.  Joint appointees can only vote on initial appointments in their home department.

6.4.2  Dean’s Decision and Recommendation

In the case of an initial appointment of a tenure-track faculty member, the Dean’s decision is final.

If tenure is to be conferred with initial appointment, the Dean shall provide to the Provost the vote of the DVF for appointment, the vote of the DVF for tenure (including input from outside the home department for joint and interdiscip[inary appointments), the Department Head’s recommendation and Dean’s recommendation.

6.5  Provost’s Recommendation

If tenure is to be conferred with initial appointment, the Provost shall make a recommendation to the Chancellor for all positive decisions.

6.6  Communication

6.6.1  The terms and conditions of each faculty appointment shall be stated in a letter from the Chancellor or Chancellor’s designee (the Provost) to the faculty member.  The letter shall provide specification of the beginning and ending dates of the appointment or reappointment consistent with Sections 4.2 and 4.3 and any limitation of tenure due to source of funds consistent with 6.4.2.

6.6.2  The appointment of a faculty member to a position funded in whole or in substantial part from sources other than continuing state budget funds or permanent trust funds, whether for a specified term or with tenure, shall be contingent upon the continuing availability of such funds.  This contingency shall not apply to the federal funds provided to the North Carolina Agriculture Research Service through the Hatch Act and the McIntire-Stennis Act and to the North Carolina Cooperative Extension Service through the Smith-Lever Act.  These funds shall be considered as permanent trust funds, and faculty who are funded in whole or in substantial part from these sources shall not be subject to the contingency provisions of this section.

6.6.3 Joint Appointments: The terms and conditions of each joint faculty appointment shall be stated, including the home department, the proportion of the faculty member’s responsibilities and effort in each department, and the salary distribution across the departments.

6.6.4 Interdisciplinary Appointments: The terms and conditions of each interdisciplinary appointment shall be stated, including the proportion of the faculty member’s responsibilities and effort assigned to departmental and extra-departmental activities.

6.7  Periodic Performance Reviews

There shall be regular reviews of individual faculty performance conducted by academic administration with peer involvement where appropriate. These reviews shall be conducted pursuant to regulations issued by the Chancellor or Chancellor’s designee and shall include annual reviews of all faculty and periodic post-tenure reviews of tenured faculty.

7.  PROCEDURES FOR REAPPOINTMENT, PROMOTION, AND CONFERRAL OF TENURE

7.1  Documentation

The candidate shall assemble documentation in consultation with the Department Head in accordance with NCSU REG05.20.20 – Reappointment, Promotion and Tenure Dossier Format Requirements.

7.2  Consultation

Decisions are dependent on substantive consultation with tenured faculty by Department Heads, Deans and the Provost who are responsible for the reviews that inform these decisions.  7.2.1  Departmental Consultation

It is the responsibility of the DVF to participate in this consultation at the departmental level.  The DVF (see section 7.2.1.1) shall have full access to the documentation prepared for each candidate and the opportunity and responsibility to meet as a group with the Department Head to consider the matter confidentially.  In each case, the DVF shall provide a written assessment.

In each case, a vote shall be taken either by secret ballot or open ballot, with the method of voting to be decided by a majority vote of the DVF. Faculty members who cannot attend the meeting shall be expected to vote in accordance with the department’s Reappointment, Promotion and Tenure Rule.

7.2.1.1  

a. The DVF shall consist of tenured faculty with equal or greater rank than the position for which the individual is being considered.

b. The membership of the DVF in departments that appoint faculty only on non-tenure track contracts may vary from the definition in section a.  For these exceptions, see section 9.2.2 of REG05.20.34 Non-Tenure Track Ranks and Appointments.

7.2.1.2  If the number of departmental voting faculty members is fewer than three (3), the Department Head, in consultation with the existing DVF, the individual being reviewed, and appropriate other Department Heads, shall request that the Dean appoint faculty members from allied departments in such number as to provide a group of three (3) members to serve as the DVF for the case.

7.2.1.3 In the case of joint appointments, the DVF of the home department shall make the recommendation for promotion and tenure based on written input from the DVF(s) of the other appointing department(s) or may conduct a single review by a DVF made up of representatives from each department.

7.2.1.4 In the case of an appointment in which the area of work of the candidates is substantively interdisciplinary, the head of the faculty member’s home department shall receive recommendations from tenured faculty of appropriate rank outside the department who are familiar with the interdisciplinary focus and activities of the faculty member. This may be achieved in either of two ways: (1) through written input by appropriate interdisciplinary faculty members in the deliberations of the DVF  or (2) through the Dean’s creation of an interdisciplinary review committee made up of faculty from the home department and appropriate interdisciplinary faculty members; interdisciplinary review committees shall be appointed in consultation with the candidate, the Head of the home department and other faculty familiar with the faculty member’s interdisciplinary area and approved by the Provost.

7.2.2  Dean Consultation

a. The Dean, prior to making the reappointment decision or a recommendation to the Provost for promotion and/or conferral of tenure, shall consult with a duly constituted College Reappointment, Promotion, and Tenure Committee, appointed and charged by the Dean in accordance with college rules approved by the Provost.  The committee shall have full access to the documentation and an opportunity to confidentially discuss the case among themselves and shall provide a written assessment.  A vote shall be taken either by secret ballot or open ballot, with the method of voting to be decided by a majority vote of the group. For joint or interdisciplinary appointments which involve programs or departments in more than one college, the CRPTC where the home department is located will discuss the case and provide a written assessment and vote.

b. In the Division of Academic and Student Affairs (DASA), which appoints only non-tenure track faculty, the Vice Chancellor and Dean shall consult with a duly constituted DASA Promotion Committee.  See section 9.3.2 of REG05.20.34 Non-Tenure Track Ranks and Appointments .

7.2.3  Provost Consultation

A University Reappointment, Promotion, and Tenure Committee, appointed by the Provost in consultation with the Chair of the Faculty, shall advise the Provost in matters relating to the policy and processes involved in reappointment, promotion, and conferral of tenure.  The committee may confidentially examine cases in the context of its process review. The Provost may consult the committee on individual cases, and in such cases the Committee shall provide a written assessment.  Unless requested by the Provost, however, the Committee does not advise on specific cases.

7.3  Recommendations and Decisions

7.3.1  Recommendation of Department Head

In the case of a reappointment, promotion, or conferral of tenure for an appointed faculty member, the Department Head shall provide to the Dean or equivalent academic officer the written assessment and vote of the DVF, a written recommendation by the Department Head, and any written response provided by the faculty member in accordance with section 7.4.

In the case of joint or interdisciplinary appointments, the head of the home department will provide the assessment including the results of consultation with the head(s) of other departments in the appointment.  The head of the home department will provide the Dean with the written assessment and vote of the department faculty or joint DVF and any written response provided by the faculty member.

7.3.2  Dean’s Decision and Recommendation

7.3.2.1  In the case of reappointment of a tenure-track faculty member, the Dean's decision is final except when recommending non-reappointment. In the case of joint appointments, the Dean of the college where the home department is located will make a recommendation on reappointment including the results of consultation with the Dean of the other participating college(s). 

7.3.2.2  In the case of non-reappointment, promotion and conferral of tenure, the Dean shall provide to the Provost the written assessments, votes, and written recommendations provided from the DVF, Department Head, and College Reappointment, Promotion, and Tenure Committee, the Dean’s a written recommendation, and any responses provided by the faculty member in accordance with section 7.4.

7.3.3  Provost's Decision and Recommendation

In the case of promotion and conferral of tenure, the Provost shall make a recommendation to the Chancellor for all positive decisions after consideration of the faculty member's dossier, vote and assessment of the DVF, recommendation of the Department Head, vote and assessment of the College RPT Committee and recommendation of the Dean.  The Provost may consult appropriate university-level academic officers in making these decisions.  In the case of negative decisions, the Provost's decision is final.

7.4  Opportunity for Faculty Response to Written Assessments and Recommendations

The faculty member shall be provided the written assessment and recommendation at both the department and college levels and shall be given an opportunity to provide a timely written response at both levels.  These responses shall become part of the documentation of the review for succeeding levels.

7.5  Sharing of Written Assessments, Recommendations, and Responses in the Reappointment, Promotion and Tenure Review

Upon completion of the department review, the Department Head shall provide to the DVF his or her written assessment and recommendation, and any responses provided by the faculty member to the Department.

Upon completion of the college review, the Dean shall provide to the DVF, the Department Head, and the College RPT Committee an opportunity to review the following documents: the written assessment and vote of the College RPT Committee, the written assessment and recommendation of the Dean, and any responses provided by the faculty member to the College assessments and recommendations.

7.6  Communication

7.6.1  Timely Notification

For tenure-track faculty, notice of reappointment or non-reappointment shall be in accordance with the notice requirements of Section 604 A of The Code for full-time faculty at the rank of instructor, assistant professor, or associate professor, which are as follows.

a.  during the first year of continuous service at the institution, the faculty member shall be given not less than 90 days’ notice before the employment contract expires;

b.  during the second year of continuous service at the institution, the faculty member shall be given not less than 180 days’ notice before the employment contract expires;

c.  after two or more years of continuous service at the institution, the faculty member shall be given not less than 12 months’ notice before the employment contract expires.

Failure to give timely notice of non-reappointment will oblige the Provost thereafter to offer a terminal appointment of one academic year.  Notice of non-reappointment shall be given in a letter from the Provost containing the decision not to reappoint.

7.7  Review of Non-reappointment Decisions

A probationary faculty member who is notified of a terminal appointment or a non-reappointment, pursuant to section 4.2 or 4.3, shall be granted upon request an interview with the Department Head to discuss the decision.  The faculty member shall also upon request be granted a subsequent interview with the Dean to discuss the decision.  After these interviews, if the faculty member believes the decision not to reappoint was based upon his or her exercise of rights guaranteed by either the First Amendment to the United States Constitution or Article I of the North Carolina Constitution; discrimination as defined and prohibited by NCSU POL 04.25.05 Equal Opportunity and Non-Discrimination Policy; personal malice; or due to a material procedural irregularity that casts substantial doubt on the integrity of the decision not to reappoint, he or she may request a review pursuant to NCSU POL05.25.01 – Faculty Grievance and Non-Reappointment Review Policy.  This review shall be limited solely to determining whether the decision not to reappoint was based upon any of the above-listed grounds.

8.  IMPOSITION OF SERIOUS SANCTIONS

During any probationary or tenured appointment, a faculty member may be discharged or subject to the imposition of serious sanctions in accordance with the procedures prescribed in Section 603 of The Code.

8.1  Regulations issued by the Chancellor or Chancellor’s designee shall address the composition and appointment of a hearing committee.

8.2  As specified in Section 603 of The Code, discharge or imposition of serious sanctions may be based only upon:

8.2.1  incompetence, including significant, sustained unsatisfactory performance after the faculty member has been given an opportunity to remedy such performance and fails to do so within a reasonable time;

8.2.2  neglect of duty, including sustained failure to meet assigned classes or to perform other significant faculty professional obligations; or

8.2.3  misconduct of such a nature as to indicate that the individual is unfit to serve 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, unethical, or inappropriate conduct.

9.  SEPARATION OF FACULTY EMPLOYMENT

9.1  Resignation

A faculty member who intends to resign from employment has the obligation to give timely written notice of that intention to the head of the department in which the faculty member is appointed.  Tenure ceases on the date of the resignation.

9.2 Termination Due to Financial Exigency or Program Elimination

9.2.1  During a probationary or tenured appointment, termination of faculty employment shall occur in accordance with the provisions of Section 605 of The Code only because of 1) a demonstrable, bona fide institutional financial exigency, or 2) the major curtailment or elimination of a teaching, research, or public service program.

9.2.2  Financial exigency is defined as a significant decline in the financial resources of the institution that is brought about by decline in institutional enrollment or by other action or events that compel a reduction in the institution's current operations budget.  The determination of whether a condition of financial exigency exists or whether there shall be a major curtailment or elimination of a teaching, research, or public service program shall be made by the Chancellor, after consulting with the faculties of the departments or other units that might be affected, the academic administrative officers, the Faculty Senate, and the Board of Trustees.

In this or any subsequent consultation process, a faculty appointment may be terminated only after it is determined by the Chancellor, following careful review of alternatives, that the condition of financial exigency cannot be alleviated by less drastic means.  The determination of financial exigency or a major curtailment or elimination of a teaching, research, or public service program is subject to concurrence by the President and approval by the Board of Governors.

9.2.3  If there must be termination of faculty appointments, the Chancellor shall give consideration to tenure status, years of service at the university, and other factors deemed relevant in determining whose employment is to be terminated.  The primary consideration, however, shall be the maintenance of a sound and balanced educational program that is consistent with the functions and responsibilities of the university.

9.2.4  A faculty member whose employment is to be terminated shall be notified of this fact in writing.  This notice shall include a statement of the conditions requiring termination of employment, a disclosure of pertinent financial or other data upon which the termination decision was based, and a general description of the procedures followed in making that decision.

9.2.5  If a faculty member whose employment is to be terminated alleges that the decision to terminate was arbitrary or capricious, a hearing committee of the Faculty Hearings Panel shall afford the faculty member a fair hearing, according to the procedures of Section 605 of The Code.  This hearing shall be limited to the question of whether the decision to terminate was arbitrary or capricious.  The Chancellor's final decision may be appealed in the manner provided for by Section 605C (6) of The Code.

9.2.6  The university, when requested by a faculty member whose employment has been terminated, shall give reasonable assistance in finding other employment.  For a period of two (2) years after the effective date of termination the university shall not replace the faculty member without first offering the position to the person whose employment was terminated.

9.3  Retirement

Faculty members may apply for retirement when eligible in accordance with the provisions of the North Carolina Statutes (Chapter 135).  Tenure ceases on the effective date of retirement.  Upon entering the UNC Phased Retirement Program, a faculty member relinquishes his or her permanent tenure in exchange for a three (3) year fixed-term contract.