POL 05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure

Authority: Board of Trustees

History: First Issued: November 27, 1973. Last Revised: November 22, 2024.

Related Policies: 

UNC Policy Manual 101.3.1.1[R] Regulation on Disciplinary Discharge, Suspension, or Demotion Under Section 603 of The Code
UNC Policy Manual 101.3.1.2[R] Regulation on Non-Reappointment, Denial of Tenure, and Denial of Promotion Under Section 604 of The Code
UNC Policy Manual 101.3.1.3[R] Regulation on Grievances Filed Pursuant to Section 607 of The Code
NCSU POL05.30.01 – Medical and Parental Leave for 9-Month Faculty
NCSU REG05.20.34 – Professional Faculty Ranks and Appointments

NCSU REG05.20.40 – Instructor Qualifications

Additional References:

RPT Information Site
College and Department RPT Rules
N.C.G.S. §135 – Retirement System for Teachers and State Employees

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


1. INTRODUCTION

This policy is adopted pursuant to Chapter VI of The Code (Appendix “A”).

This policy and provisions of UNC Code Chapter VI, as adopted and 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 of inquiry and responsibility within 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 professional track faculty as set forth in Section 610 of The Code.

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 suspension without pay or demotion in rank, 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 – Professional 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.  In addition, a faculty member with permanent tenure at NC State cannot simultaneously hold permanent or academic tenure at another institution of higher education.

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 to Appointment and to Determine Compensation for Employees Exempt from the State Human Resources Act (EHRA) and subject to further approvals as required by Section 602(5) of The Code.

3.2 Upon receiving recommendations for the conferral of permanent tenure from the Provost, the Chancellor will forward the 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 below.

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 sub-sections set forth below.

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 based on degrees attained or alternative credentials. REG 05.20.40 Instructor Qualifications provides additional guidance on faculty credentialing.

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) academic year and may be reappointed to one (1) additional probationary term of one (1) academic year.

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

(a) Ability or potential in the mutually agreed upon realms of responsibility.

(b) 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 or Chancellor’s designee (the Provost) may approve postponing the decision and notification regarding conferral of tenure beyond the eighth year of service.

4.2.4 Minimum Required Qualifications

(a) Ability or definite promise in the mutually agreed upon realms of responsibility.

(b) Potential for directing activities in the mutually agreed upon realms of responsibility.

(c) Ability and willingness to participate in department, college and university affairs.

(d) A doctoral 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 for academic contracts or June 30 for fiscal year contracts.

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

(a) Recognized ability and potential for distinction in the mutually agreed upon realms of responsibility.

(b) Demonstrated ability to direct activities in the mutually agreed upon realms of responsibility.

(c) Demonstrated ability and willingness to participate in department, college and university affairs.

(d) A doctoral 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

(a) Distinguished achievement in the mutually agreed upon realms of responsibility.

(b) Demonstrated ability to direct activities in the mutually agreed upon realms of responsibility.

(c) Established reputation in the individual’s profession or field of scholarly or germane creative activity.

(d) Demonstrated ability and willingness to participate in department, college and university affairs.

(e) A doctoral 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 REG 05.20.31 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 Faculty Responsibilities; 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 (6) realms of faculty responsibility, as defined in NCSU REG 05.20.27 – Statements 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 Faculty Responsibilities.

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. The Departmental Voting Faculty (“DVF”) may develop procedures for consultation concerning initial appointments with other faculty in the department; such procedures should be consistently applied.

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 DVF. Faculty members who cannot attend the meeting shall be permitted to vote in accordance with departmental rules.

6.2.2 Departmental Voting

6.2.2.1 For initial appointments, two votes are taken and recorded. The first vote is for the DVF to indicate support for the appointment of a particular candidate. The second vote is for the DVF to award rank, which may also include tenure, to a particular candidate. Each college shall define if and how university and college administrators with tenure in one of its departments can participate on DVFs for initial appointments.

6.2.2.2 For the first vote to support appointment of a particular candidate, the DVF shall consist of tenured faculty of any rank. The DVF may consult with other departmental faculty prior to voting. If the department rule supports consultation, individuals that that are not members of the DVF for the candidate’s case must not be present for deliberations and voting by the DVF. All deliberations and voting are confidential.

6.2.2.3 The membership of the DVF in departments that appoint only professional faculty on contracts may vary from the definition in section 6.2.2.2. For these exceptions, see REG 05.20.34 – Professional Faculty Ranks and Appointments.

6.2.2.4 The second vote must be specific to a rank and, in the case of Associate Professors, must also define tenure status. The rank of Professor always includes tenure. The rank of Assistant Professor never includes tenure. The DVF for awarding ranks of Assistant Professor, Associate Professor without tenure, or Associate Professor with tenure includes all tenured Associate Professors and Professors. The DVF for awarding rank of Professor 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

6.3.1.1 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 appointing department with the higher percentage of salary support, 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).

6.3.1.2 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.

6.3.1.3 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 the faculty member will have voting rights in the other department’s affairs.

6.3.2 Interdisciplinary Appointments

6.3.2.1 In the case of an appointment in which the work of the appointee is expected to be substantively interdisciplinary, the Department 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, including the coordinator(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.

6.3.2.2 At the time of the appointment and in consultation with the faculty member and the coordinator(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 interdisciplinary 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 section 6.6.2.

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 Agricultural 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. The DVF may develop procedures for consultation concerning reappointment, promotion, and tenure with other faculty in the department; such procedures should be consistently applied. If the department rule supports consultation, individuals that are not members of the DVF for the candidate’s case must not be present for deliberations and voting by the DVF.

7.2.1 Departmental Consultation

It is the responsibility of the DVF to participate in this consultation at the departmental level. The DVF 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. For 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.

All deliberations and communications related to the DVF review of candidates and voting outcomes must remain confidential. No persons other than the DVF, or Department Head as defined in the department rule, may be present during the deliberations and voting.

7.2.1.1 DVF Composition

(a) The DVF shall consist of tenured faculty with equal or greater rank than the position for which the individual is being considered. Each college shall define if and how university and college administrators with tenure in one of its departments can participate on DVFs for reappointment, promotion, and conferral of tenure.

(b) The membership of the DVF in departments that appoint only professional faculty on contracts may vary from the definition in subsection (a). For these exceptions, see REG 05.20.34 Professional Faculty Ranks and Appointments.

7.2.1.2 If the number of DVF 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 Department 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 Department 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 and CRPTC Assessment

7.2.2.1 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 (“CRPTC”), appointed and charged by the Dean in accordance with college rules approved by the Provost. The CRPTC 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.

7.2.2.2 In the Division of Academic and Student Affairs (DASA), which appoints only professional faculty, the Vice Chancellor and Dean shall consult with a duly constituted DASA Promotion Committee. See NCSU REG 05.20.34 Professional Faculty Ranks and Appointments.

7.2.3 Provost Consultation

A University Reappointment, Promotion, and Tenure Committee (“URPTC”), 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 URPTC may confidentially examine cases in the context of its process review. The Provost may consult the URPTC on individual cases, and in such cases the URPTC shall provide a written assessment. Unless requested by the Provost, however, the URPTC 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 Department 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 Department 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, CRPTC, and the Dean, 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 CRPTC, 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 the Department Head’s 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 CRPTC an opportunity to review the following documents: the written assessment and vote of the CRPTC, the written assessment and recommendation of the Dean, and any responses provided by the faculty member to the College assessments and recommendations.

7.6 Notice of Decisions

7.6.1 Non-Reappointment

For full time tenure-track faculty, notice of a non-reappointment (decision not to reappoint a tenure track faculty member after the initial contract period) shall be in accordance with the notice requirements of Section 604B which are as follows.

(a) During the first year of continuous service at the institution, the faculty member shall be given not less than 60 calendar days’ written notice before the specified employment contract expires.

(b) During the second year of continuous service at the institution, the faculty member shall be given not less than 90 calendar days’ written notice before the specified 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’ written notice before the specified employment contract expires.

7.6.2 Denial of Tenure

For a denial of tenure decision, a faculty member shall be given not less than 12 months’ written notice before the faculty member’s appointment expires.

7.6.3 Denial of Promotion

For a denial of promotion in rank, the faculty member shall be given written notice within a reasonable time following the final faculty employment decision not to promote.

7.7 Review of Non-reappointment, Denial of Tenure, and Denial of Promotion Decisions

7.7.1 A faculty member who is notified of a terminal appointment or a non-reappointment, pursuant to section 4.2 or 4.3, or who is denied a promotion not attendant to the granting of tenure (i.e., promotion in rank from Associate Professor to Professor) may request a meeting with the Department Head to discuss the decision. After meeting with the Department Head, the faculty member may also request a meeting with the Dean to discuss the decision.

7.7.2 After these meetings, the faculty member may file a request to review the decision pursuant to Section 604C of The Code and UNC Policy Manual 101.3.1.2[R] Regulation on Non-Reappointment, Denial of Tenure, and Denial of Promotion under Section 604 of The Code.

7.7.3 This review shall be limited solely to determining whether the decision was due to an Impermissible Basis as defined in Section 604C of The Code (i.e., based upon the exercise of rights guaranteed by either the First Amendment to the United States Constitution or Article I of the North Carolina Constitution; membership in a group protected from discrimination under state or federal law; other violation of state or federal law; or material violation of applicable university policies for reappointment that materially affected the decision).

7.7.4 Campus-based processes and procedures for review of such decisions that implement the requirements established by Section 604C and the UNC Policy Manual are found in NCSU POL05.25.01 – Faculty Grievance and Review Policy.

8. DISCHARGE, SUSPENSION, OR DEMOTION

A faculty member with the institutional guarantee of academic tenure (i.e., tenured, tenure-track, or full-time professional faculty member on contract for a specified term) may be discharged, suspended without pay, or demoted in rank only in accordance with the procedures prescribed in Section 603 of The Code and UNC Policy Manual 101.3.1.1[R] Regulation on Disciplinary Discharge, Suspension, or Demotion under Section 603 of The Code.

8.1 Campus-based processes and procedures for disciplinary discharge, suspension, or demotion that implement the requirements established by Section 603 and the UNC Policy Manual are found in NCSU REG 05.25.05 – Faculty Discharge Hearing Procedures.

8.2 As specified in Section 603 of The Code, discharge, suspension, or demotion may be based only upon one or more of the following reasons:

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 but not limited to the sustained failure to: meet assigned classes, respond to communications from individuals within the faculty member’s supervisory chain, report to their employment assignment and continuing to be absent for fourteen (14) consecutive calendar days without being excused by their supervisor, or to perform other essential duties of their position; or

8.2.3 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 or engaging in other unethical conduct; violation of university policy or law; mistreatment of students or employees; research misconduct; financial or other fraud; or criminal, or other illegal or inappropriate conduct. To justify formal discharge, suspension, or demotion, such misconduct should be either (a) sufficiently related to a faculty member’s responsibilities as to disqualify the individual from effective performance of job duties, or (b) sufficiently serious as to adversely reflect on the individual’s honesty, trustworthiness or fitness to be a faculty member. A serious sanction less severe than discharge may be imposed depending on the nature and circumstances of the misconduct.

8.3 The reasons for discharge, suspension, or demotion (incompetence, neglect of duty, misconduct) are not mutually exclusive. Certain facts presented to support a discharge, suspension, or demotion may fall under one or more of the reasons listed above. So long as there is sufficient evidence of the underlying facts to support a discharge, suspension, or demotion, an action shall not be invalid because the reason provided mislabeled or miscategorized the underlying facts.

8.4 At any point after procedures for the imposition of discharge, suspension, or demotion are initiated, the Chancellor or Provost (as chief academic officer) has the discretion to place a faculty member on administrative leave with pay at any time if the Chancellor or Provost determine in his or her discretion that circumstances warrant it and may choose to do so at any time. The decision to place a faculty member on administrative leave without pay is not grievable under any process under The Code.

9.  SEPARATION OF FACULTY EMPLOYMENT

9.1  Resignation

A faculty member who intends to resign from employment should consult with Human Resources and has the obligation to give timely written notice of that intention to the head of the department in which the faculty member is appointed to ensure continuity of essential activities. Tenure ceases on the date of the resignation.

9.2 Termination Due to Financial Exigency or Program Curtailment or 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. 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 605C(1) subject to the concurrence by the president and then approval by the Board of Governors. If the financial exigency or program curtailment or elimination is such that the institution’s contractual obligation to a faculty member may not be met, the employment of the faculty member may be terminated in accordance with institutional procedures that afford the faculty member a fair hearing on the decision.

9.2.2 An individual 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 general description of the procedures followed in making that decision, and a disclosure of pertinent financial or other data upon which the decision was based. Timely notice of termination shall be given as follows:

When the termination is due to program curtailment or elimination:

  • A faculty member who has permanent tenure shall be given not less than 12 months’ notice; and
  • A faculty member appointed to a fixed term without permanent tenure shall be given notice in accordance with the requirement specified in Section 605B of The Code.

When the termination is due to financial exigency, the university 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 that set forth above for termination due to program curtailment or elimination.

9.2.3 For a period of two (2) years after the effective date of termination for any reason specified in Section 605A, the university shall not replace the faculty member without first offering the position to the person whose employment was terminated. The offer shall be made in such a manner that provides proof of delivery. The faculty member will be given 30 calendar days after attempted delivery of the notice to accept or reject the offer. The university shall provide reasonable assistance in finding other employment upon the request of a faculty member whose employment has been terminated.

9.2.4 If it appears that the institution will experience an institutional financial exigency or consider a major program curtailment or elimination, the Chancellor (or Chancellor’s designee) shall first seek the advice and recommendations of the academic administrative officers and faculties of the departments or other units that might be affected.

9.2.5 In determining which faculty member’s employment is to be terminated for reasons set forth in Section 605A, the Chancellor shall give consideration to tenure status, years of service at the university, and other factors deemed relevant. 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.

9.2.6 If a faculty member whose employment is to be terminated alleges that the decision to terminate was arbitrary or capricious, the faculty member may request reconsideration of the termination. A hearing committee of the Faculty Hearings Panel shall afford the faculty member a fair hearing limited to the question of whether the decision to terminate was arbitrary or capricious. The Chancellor’s final decision may be appealed to the Board of Trustees

Procedures for faculty member to seek a reconsideration procedure as described in Section 605 of The Code are included in NCSU REG 05.25.04 Faculty Grievance and Non-Reappointment Review.

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.

9.4 Non-Disciplinary Separation

A faculty member with permanent tenure or appointed to a specified term of service before the term has expired may be subject to a non-disciplinary separation from employment pursuant to Section 602(6)(d) of The Code when:

  • The faculty member is unable to perform the essential functions of the job due to a medical condition or the vagueness of a medical prognosis and the university and the faculty member are unable to reach agreement on a return-to-work arrangement that meets both the needs of the university and the faculty member’s condition, and the university has demonstrated a business or operational need to fill the faculty member’s position; or
  • Notwithstanding any unexhausted leave credits and leave benefits, the faculty member is unable to perform all of the position’s essential duties due to a court order, or due to the loss of credentials or certification required for the position and that would render the faculty member unable to perform all of the essential functions of the job.

A separation under this section is not considered to be disciplinary. A faculty member may file a grievance pursuant to Section 607 with respect to a non-disciplinary separation under this section. In the event that such a grievance is filed, the burden shall be on the university (rather than the faculty member) to demonstrate that the faculty member was unavailable based on one of the above-listed grounds and that the university took reasonable steps to avoid separation.