POL 05.25.01 – Faculty Grievance, Review and Hearings Policy

Authority: Board of Trustees

History: First Issued: September 20, 1996. Last Revised: November 22, 2024.

Related Policies:

UNC Code – Chapter VI (Sections 603, 604, 605 and 607)
UNC Code Section 607- Faculty Grievance Process
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 Grivances Filed Pursuant to Section 607 of The Code
NCSU POL05.35.01 – Mediation Policy and Procedure
NCSU POL 05.20.01 – Appointment, Reappointment, and Permanent Tenure
NCSU REG 04.25.02 – Discrimination, Harassment and Retaliation Complaint Procedures
NCSU REG 05.20.34 – Professional Faculty Ranks and Appointments
NCSU REG 05.25.04 – Faculty Grievance and Non-Reappointment Review
NCSU REG 05.25.05 – Faculty Discharge Hearing Procedures

Contact Info: Vice Chancellor and General Counsel (919-515-3071)
Senior Vice Provost for Faculty Excellence (919-513-7741)

  1. INTRODUCTION

The purpose of this policy is to provide an internal university process for the good faith resolution of employment-related faculty issues. Employment-related faculty issues covered by the Code of the Board of Governors of the University of North Carolina (The Code) include (a) grievances in which a faculty member seeks redress concerning general employment-related actions (Section 607 of The Code) or non-disciplinary separation (Section 602(6)(d) of The Code) and (b) reviews of decisions of non-reappointment, denial of tenure, and denial of promotion (Section 604 of The Code). This policy implements the general requirements set forth in The Code, while NCSU REG 05.25.04 (Faculty Grievance and Review Procedures) establishes the procedures to be followed for a grievance or review including but not limited to the specific steps involved for the entire grievance or review process. The imposition of serious sanctions including discharge for cause (Section 603 of The Code) is covered in NCSU POL 05.20.01 and NCSU REG 05.25.05, and separation due to financial exigency or program curtailment (Section 605 of The Code) is covered in NCSU POL 05.20.01 and NCSU REG 05.20.34.

  1. FACULTY PROCEEDINGS COMMITTEE

2.1 Faculty Proceedings Committee Membership

There shall be a standing university committee elected by the General Faculty and designated as the Faculty Proceedings Committee (the “Committee”). This Committee will include representation from each college and professorial rank as well as tenured and professional track faculty sufficient to seat the following Panels:

  • A Disciplinary Hearing Panel for hearings related to disciplinary discharge, suspension, or demotion (Section 603 of The Code);
  • A Review Panel for non-reappointment, denial of tenure, and denial of promotion (Section 604 of The Code);
  • A Reconsideration Hearing Panel in cases of separation due to financial exigency or program curtailment (Section 605 of The Code); and
  • A Grievance Panel for issues that fall under Section 607 of The Code.

The Committee may not include any person in an administration position (dean, department head, or faculty with administrative appointments > 0.5 FTE). Members of the Committee must complete annual training from the Office of General Counsel before serving on a panel. Additional information regarding the selection and composition of this Committee is included in accompanying regulations.

2.2 Faculty Proceedings Committee Chair

The Chancellor shall appoint a chair of the Committee from the elected members after conferring with the Chair of the Faculty. The Committee Chair shall be appointed for a two-year term; if the Chair is unable to complete the two-year term, the Chancellor shall confer with the Chair of the Faculty and appoint a new Committee Chair from the Committee to finish the term. The Committee Chair shall be responsible for appointing members from the Committee to serve on the panels listed above in 2.1. The Committee Chair shall also be responsible for making an annual report to the Faculty Senate and the Chancellor concerning the review, grievance and hearings processes.

  1. REVIEWS OF DECISIONS RELATED TO TENURED AND TENURE-TRACK FACULTY UNDER SECTION 604 OF THE CODE

Within the university, important faculty personnel decisions are based on evaluations of performance rendered by a candidate’s colleagues and supervisors, who are in the best position to make such judgments. These assessments are not the product of mechanically applied checklists, criteria, or formulas; there is no simple litmus test for outstanding job performance. Rather, these decisions must reflect careful exercises of discretion, in which the faculty colleagues draw on their own academic knowledge, experience, and perceptions to evaluate the candidate’s qualifications and performance. The academic review process seeks to obtain the collective good faith professional academic judgment of the candidate’s colleagues and administrators as the basis for personnel decisions. These decisions are entitled to great deference and weight and, as such, must be based on considerations that are relevant to the candidate’s performance and potential to contribute to the good of the institution.

Tenure-track and tenured faculty members may seek review of a decision under Section 604A of The Code (including non-reappointment, denial of tenure, or denial of promotion), on the grounds set forth in Section 3.1.

3.1 Grounds for Section 604 Review (Non-Reappointment, Denial of Tenure, Denial of Promotion)

A review of a decision under Section 604A of The Code (“Review”) may proceed only on the grounds that the decision was based on one or more of the following (“Impermissible Bases”):

  • 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;
  • The faculty member’s 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, promotion, and tenure that materially affected the decision.

3.2 Filing a Petition for Review

A petition for a Review must be filed within thirty (30) calendar days of notice of the decision and must state the grounds for the Review—specifically, a statement of the facts to support a claim that the decision was based on one or more Impermissible Bases listed in section 3.1. If the faculty member does not request review of the decision within this timeframe, the decision is final without recourse to any further review or appeal.

3.3 Purpose of the Review.

The purpose of a Review is to determine if the decision was based on one or more Impermissible Bases. The purpose is not to second guess professional academic judgments based on permissible considerations.

  1. EMPLOYMENT RELATED GRIEVANCES (SECTION 607)

Section 607 of The Code provides for employment related grievances separate from and unrelated to reviews of a non-reappointment under Section 604. Any faculty member may seek redress through an employment-related grievance pursuant to Section 607 of The Code during the faculty member’s employment at NC State (“Grievance”). The Grievance process is available to actively employed faculty members at NC State. A faculty member whose employment ends during the pendency of a Grievance proceeding is not entitled to continue the Grievance. However, the Chancellor may, in their sole discretion, determine that it is in the best interest of NC State to continue the Grievance.*

*A faculty member who has been subject to a non-disciplinary separation pursuant to Section 602(6)(d) of The Code may maintain a Grievance even after separation (see section 4.3) without permission from the Chancellor. This Grievance must be filed within 60 days of notification of separation.

4.1 General Grievance

A General Grievance is limited to matters directly related to a faculty member’s terms and conditions of employment. A General Grievance must:

  • Be based upon a decision made by an administrator in a supervisory role over the faculty member; and
  • Allege that the decision was in violation of a federal or state law, UNC Policy or Regulation, and/or NC State’s policies, regulations, and rules; and
  • Allege how the faculty member was negatively affected by such decision.

The administrator who made the decision that negatively affected the faculty member shall be the respondent.

4.2 Post-Tenure Review Grievances

A tenured faculty member may file a Post-Tenure Review Grievance for a post-tenure review decision with an overall finding of “does not meet expectations” based on one or more Impermissible Bases as set forth in Section 3.1.

The administrator who made the determination of an overall “does not meet expectations” for a faculty member’s post-tenure review will be the respondent in a Post-Tenure Review Grievance. Members of the post-tenure review committee may be called as witnesses by either party.

4.3 Non-Disciplinary Separation Grievances

Section 602(6)(d) of The Code provides for a non-disciplinary separation from employment of a faculty member with permanent tenure or of a faculty member appointed to a specified term of service before the term expires under certain circumstances. A faculty member may file a Non-Disciplinary Separation Grievance under Section 602(6)(d). In the event that such a Grievance is filed, the burden shall be on the university (rather than the grievant) to demonstrate that the faculty member was unavailable based on one of the grounds listed in Section 602(6) (d)(i) or (ii) and that the university took reasonable steps to avoid separation.

4.4 Filing a Grievance

A Grievance must be filed within sixty (60) calendar days of the decision that is the basis of the Grievance. The Grievance must state the grounds for the Grievance, which must include a statement of facts to support a claim that an administrator’s decision:

4.4.1 For General Grievances: violated state or federal law or a UNC System or NC State policy, regulation, or rule (PRR) and how the decision negatively affected the grievant. The purpose of a Grievance is to determine whether the grievant has been negatively affected by an administrative decision under section 4.1, 4.2, or 4.3.

4.4.2 For Post-Tenure Review Grievances: was based on one or more Impermissible Bases as set forth in Section 3.1. For Post-Tenure Review Grievances, the purpose is not to second guess professional academic judgments based on permissible considerations.

4.4.3 For Non-Disciplinary Separation Grievances: did not meet the requirements of demonstrating that the faculty member was unavailable based on one of the grounds listed in Section 602(6)(d)(i) or (ii) and that the university failed to take reasonable steps to avoid separation.

The Grievance must also include the name of the administrator responsible for the decision (the respondent). Lastly, the Grievance must include the redress or relief sought.

4.5 Non-Grievable Matters.

The Grievance Panel may not consider a matter that is subject to Section 603, Section 604, or Section 605 of The Code or a matter that is not grievable as defined in UNC Policy Manual 101.3.1.3[R] including but not limited to:

4.5.1 Dissatisfaction with the general application of a university, college or departmental policy, regulation, or rule (PRR);

4.5.2 Non-renewal or non-extension of an existing fixed term appointment for non-tenure track faculty upon expiration of the term;

4.5.3 Complaints or matters that are subject to the jurisdiction of another university committee, or subject to another institutional process as may be required by law (e.g., research misconduct complaints, intellectual property determinations, campus police trespass appeals, Title IX proceedings, etc.);

4.5.4 Disputes between faculty colleagues, disputes between faculty and staff members, disputes between faculty and students; and

4.5.5 Decisions that do not directly affect the terms and conditions of employment, decisions on teaching loads and assignments, or business decisions about the allocation of university resources other than the faculty member’s compensation.

4.6 Grievances and Discharge, Suspension, or Demotion (Section 603) of The Code

If a grievant is named in a proceeding pursuant to Section 603 of The Code for discharge for cause, suspension without pay, or demotion in rank, the Grievance will be dismissed if it relates to the Section 603 proceeding. If the Grievance is unrelated to the Section 603 proceeding, it will be held in abeyance until the conclusion of the Section 603 proceeding. If the Section 603 proceeding results in discharge, the Grievance will be dismissed. If the Section 603 proceeding does not result in discharge, the faculty member may choose to proceed with the Grievance.

  1. PROCEDURES FOR GRIEVANCES AND REVIEWS

The procedures for Grievances and Reviews—including the specific steps in those processes—are contained in this policy’s companion regulation, NCSU REG 05.25.04 Faculty Grievance and Non-Reappointment Review. Faculty members interested in pursuing a Grievance or Review should refer to that regulation.

  1. CHANCELLOR’S DECISION

The Chancellor shall make and issue the decision on any Grievance or Review. For a Grievance or Review subject to a hearing before a faculty panel, the Chancellor must base their decision on a thorough review of (1) the evidence in the record from the hearing, and (2) the recommendation of the Panel. If the Chancellor is considering taking an action that is inconsistent with the recommendation of the Panel, the Chancellor should consult with the Panel—either in person or in writing—before making a decision. While the Chancellor should give appropriate deference to the Panel’s findings and recommendations, the final campus-based decision is the Chancellor’s. The Chancellor shall notify the faculty member and relevant administrators of the Chancellor’s decision in writing; the notice of the decision to the faculty member must be by a method which produces reasonable evidence of delivery, such as university e-mail. If the Chancellor’s decision is not in favor of the faculty member, the decision may be appealed to the Board of Trustees. The decision of the Board of Trustees is final.

  1. REPORT OF THE COMMITTEE CHAIR

The Committee Chair, together with the Chair of the Faculty, shall make an annual report to the Faculty Senate and the Chancellor concerning the grievance, review, and hearings processes. This report shall summarize, without disclosing specific details, the types of matters considered, findings by categories and final administrative decisions. As necessary, the Committee Chair shall convene a meeting of the Faculty Senate Governance and Personnel Policy Committee and the Faculty Proceedings Committee for the purpose of considering any revisions to this policy and/or the accompanying regulations for the grievance, review and hearing processes for faculty.

  1. DELEGATION TO CHANCELLOR

8.1 The Chancellor is authorized to establish regulations to implement this policy, provided the regulations are consistent with the UNC Code and this policy. The Faculty Senate shall be consulted in the review of regulations associated with this policy.

8.2 The Chancellor has the discretion to designate another decision-maker under this policy in any case where the Chancellor has a conflict of interest or is otherwise unable to serve as the decision-maker. Any such exception should be reported to the Committee Chair, the Panel Chair, and the parties.