TENURE
POLICIES, REGULATIONS AND PROCEDURES OF
THE
UNIVERSITY OF NORTH CAROLINA AT CHARLOTTE
Revised
effective October 5, 2009
7 Process for Review of Unfavorable RPT
Decisions
9.3
Assistance for Faculty Members and
Rights to New Positions
1.1
Academic Year
“Academic
Year” and its beginning and end means the academic
year as shown on the official University academic
calendar published by the Office of Academic Affairs.
1.2
College and Dean
For
purposes of this document, the term "College"
shall include the Library and the term "Dean"
shall include the University Librarian.
1.3
Day
Except
as otherwise provided herein, any reference to the
word “day” or “days” means calendar day or
calendar days, respectively. In computing any period
of time, the day in which notice is received is
not counted but the last day of the period being
computed is to be counted. When the last day of
a period falls on a Saturday, Sunday, or an institutional
holiday, the next working day is the last day of
such period.
1.4
Faculty
For
purposes of this document, the term "Faculty"
means all persons who hold Professorial Rank pursuant
to Section 3.2 below, or a Special
Faculty Appointment pursuant to Section
3.4 below.
For
purposes of this document, the term "Faculty
Member" means any person who is a member of the
Faculty as that term is defined in Section
1.4 above.
For
purposes of this document, the term “Financial Exigency”
is defined as a significant decline in the financial
resources of the University that is brought about
by decline in institutional enrollment or by other
action or events that compel a reduction in the University’s
current operations budget.
For
the purposes of this document, giving “Formal Notice”
means notifying or attempting to notify an individual
of an action or decision following the notice standards
set forth in The University of North Carolina Board
of Governors Policy 101.3.3.
1.8
Impermissible Grounds
For
the purposes of this document, basing a decision on
“Impermissible Grounds” means basing a decision on
(1) exercise by the Faculty Member of rights guaranteed
by the First Amendment to the Constitution of the
United States or by Article I of the Constitution
of North Carolina; (2) discrimination based upon the
Faculty Member’s race, color, creed, sex, disability,
sexual orientation, religion, age, national origin,
veteran status, or other forms of discrimination prohibited
under policies adopted by the Board of Trustees;
or (3) Personal Malice.
For
purposes of this document, the term “Instructor” is
an individual who begins employment at The University
of North Carolina at Charlotte in a fixed-term appointment
bearing that title before having been awarded the
appropriate terminal degree or who presents evidence
of comparable professional distinction in his or her
field.
For
purposes of this document, the term “Mandatory Review”
means a review that is required to be made in a specified
year of a Faculty Member's career pursuant to this
document.
1.11
Material Procedural Irregularities
For
purposes of this document, “Material Procedural Irregularities”
means departures from prescribed procedures governing
reappointment, promotion, or the conferral of Permanent
Tenure that cast reasonable doubt upon the validity
of the decision not to reappoint, not to promote,
or not to confer Permanent Tenure.
A
decision not to reappoint, not to promote, or not
to confer Permanent Tenure on a Faculty Member is
based on "Personal Malice" if the decision
maker permits that decision to be made because of
dislike, animosity, ill-will, or hatred based on the
Faculty Member's personal characteristics, traits,
or circumstances not relevant to valid University
decision making. See The University of North Carolina
Board of Governors Policy
101.3.1 II.B. for details.
For
purposes of this document, the term “Professorial
Rank” is the rank of Assistant Professor, Associate
Professor, or Professor.
1.14
Tenure; Permanent Tenure
For
purposes of this document, the term “Tenure” refers
to the duration of a Faculty appointment. “Permanent
Tenure” is an employment status awarded by the Board
of Trustees of the University of North Carolina
at Charlotte (formerly by the Board of Governors
of the University of North Carolina), and is a recognition
of an individual’s academic achievements. To attain
the award of Permanent Tenure, an individual must
demonstrate teaching, research, and service accomplishments
meeting criteria established by the University.
An appointment with Permanent Tenure creates an
expectation of continued employment for an indefinite
period of time, unless the Faculty Member is removed
from such employment by the University for any of
the reasons, and only in accordance with the procedures,
established in Sections 8 and
9 of this document. Only those
individuals holding the rank of Associate Professor
or Professor are eligible for the award of Permanent
Tenure.
Faculty
appointments with Permanent Tenure may be contrasted
with all other Faculty appointments, which entitle
the Faculty Member to employment only for the fixed
term of service set forth in the document of appointment.
Although
Faculty appointments with Permanent Tenure and fixed-term
Faculty appointments differ in duration, both carry
important rights as a matter of UNC Charlotte and
University of North Carolina policy. These rights
include academic freedom and freedom of inquiry, and
the right to protection against the unjust or arbitrary
application of disciplinary penalties, as described
in Section 2.
A
Faculty Member is “on the Tenure Track” if he or she
holds a fixed-term appointment at a Professorial Rank
and must be reviewed for the conferral of Permanent
Tenure not later than the end of a specified term
of service.
1.16
Unfavorable RPT Decision
For
purposes of this document, the term “Unfavorable RPT
Decision” means a decision not to reappoint, not to
promote, or not to confer Permanent Tenure on a Faculty
Member.
2
Academic Freedom and Responsibility of Faculty
The
University of North Carolina at Charlotte endorses
and supports the principles of academic freedom and
responsibility of Faculty, as set forth in Sections
601 and 602 of The Code of the University
of North Carolina. UNC Charlotte will support and
encourage full freedom, within the law, of inquiry,
discourse, teaching, research, and publication for
all members of its Faculty, to the end that they may
responsibly pursue the transmission and advancement
of knowledge and understanding free from internal
or external restraints that would unreasonably restrict
academic endeavors. The University will protect Faculty
Members in the responsible exercise of the freedom
to teach, to learn, and otherwise to seek and speak
the truth, and will not penalize or discipline members
because of the exercise of academic freedom in the
lawful pursuit of their respective areas of scholarly
and professional interest and responsibility.
Faculty
Members will share in the responsibility for maintaining
an environment in which academic freedom flourishes
and in which the rights of each member of the academic
community are respected. They are expected to recognize
that accuracy, forthrightness and dignity befit their
association with the University, and should not represent
themselves, without authorization, as spokespersons
for the University of North Carolina or any of its
constituent institutions.
3
Faculty Appointments
3.1
General Considerations in Faculty Appointments
Recommendations,
determinations, and decisions on initial appointment,
reappointment, promotion, or the conferral of Permanent
Tenure shall be based upon an assessment of at least
the following: (1) the Faculty Member's demonstrated
professional competence; (2) potential for future
contribution to The University of North Carolina at
Charlotte; and (3) institutional needs and resources.
3.2
Professorial Ranks and Their Characteristics
To
be qualified for Professorial Rank (Assistant Professor,
Associate Professor, and Professor), a person shall
hold the appropriate terminal degree or present
evidence of comparable professional distinction
in his or her field.
Prior
professional experience shall be taken into account
in determining initial rank and salary.
Appointment
in a given department or unit shall not continue
beyond seven years of experience in the Professorial
Ranks at The University of North Carolina at Charlotte
unless a decision to award Permanent Tenure has
been made during or before year six. However, in
rare cases, an individual who has not been granted
Permanent Tenure may subsequently be offered a Special
Faculty Appointment in accordance with Section
3.4.
Notice
of reappointment or nonreappointment shall be in
writing from the Provost and shall be given not
later than the end of the penultimate year of the
current appointment. If the decision is not to reappoint,
failure to provide written notice shall oblige the
Chancellor thereafter to offer a terminal appointment
of one academic year beyond the termination of the
current appointment.
A
Faculty Member may be considered for the conferral
of Permanent Tenure or promotion with conferral of
Permanent Tenure at times earlier than those specified
in this Section 3.
3.2.1
Assistant Professor
The
initial appointment of a Faculty Member at the
rank of Assistant Professor shall be for a term
of four years.
Before
the end of the third year of the initial appointment
as Assistant Professor, the Faculty Member shall
be reviewed for reappointment and shall receive
written notice of reappointment at the same or
higher rank or of nonreappointment.
An
Assistant Professor who is reappointed at the same
rank shall receive an appointment of three years.
During and before the end of the second year of
the second appointment as Assistant Professor, he
or she shall be reviewed and given written notice
of promotion to Associate Professor with conferral
of Permanent Tenure or of nonreappointment. Permanent
Tenure may not be awarded to a Faculty Member at
the rank of Assistant Professor.
3.2.2
Associate Professor
With
the written approval of the dean of the College
and the concurrence of the Provost obtained in
advance of the initiation of formal appointment
procedures, an initial appointment to the rank
of Associate Professor with Permanent Tenure may
be recommended, to become effective upon the subsequent
approval of the appointment through the procedures
of Section 4.
When
a Faculty Member's initial appointment by the
institution is to the rank of Associate Professor
without Permanent Tenure, the appointment is to
a term of three to five years. During and before
the end of the penultimate year of the appointment
as Associate Professor, the Faculty Member shall
be reviewed for Permanent Tenure and given written
notice from the Provost that he or she will be
reappointed with Permanent Tenure at the same
or higher rank or of nonreappointment.
A
Faculty Member promoted to the rank of Associate
Professor must also be awarded Permanent Tenure.
An
Associate Professor with Permanent Tenure is required
to undergo a comprehensive review every five years
pursuant to the “Tenured Faculty Performance Review
Policy.” If a review of a tenured Faculty Member
for promotion to full professor is conducted at
the time at which a Tenured Faculty Performance
Review is mandated, review for promotion fulfills
the requirement. An Associate Professor with Permanent
Tenure may not elect to postpone periodic reviews
as required under the “Tenured Faculty Performance
Review Policy.”
The
initial appointment of a Faculty Member to the
rank of Professor shall be either with Permanent
Tenure or for a term of three to five years.
If the initial appointment is without Permanent
Tenure, the Faculty Member shall be reviewed for
reappointment with Permanent Tenure and given
written notice from the Provost, during and before
the end of the penultimate year of the appointment,
of reappointment with Permanent Tenure or of nonreappointment.
A
Faculty Member who is promoted to the rank of
Professor shall have Permanent Tenure.
All
Professors will be subject periodic reviews as required
under the “Tenured Faculty Performance Review Policy.”
3.3
Annual Performance Review for Tenure Track Faculty
The
chair will provide each tenure track Faculty Member
in the department’s Professorial Ranks a letter each
year that provides an evaluation of the Faculty Member’s
accomplishments during the previous year and that
discusses the Faculty Member’s progress toward achieving
reappointment, promotion, or the conferral of Permanent
Tenure, as appropriate. The letter should clearly
and specifically address strengths and weaknesses
in the performance of the Faculty Member, providing
for a clear plan and timetable for improvement of
any deficiencies in performance. While ultimate decisions
on reappointment, promotion, and the conferral of
Permanent Tenure take into account many factors, not
all of which are related to the Faculty Member’s performance,
effective annual evaluations are intended to help
to eliminate unexpected results in the comprehensive
reviews supporting decisions on reappointment, promotion,
and the conferral of Permanent Tenure. Guidelines
for the annual performance review are detailed in
the UNC
Charlotte Academic
Personnel Procedures Handbook.
3.4
Special Faculty Appointments
If
a Faculty appointment is not an appointment to the
Professorial Ranks, it is a Special Faculty Appointment.
A Special Faculty Appointment shall carry a title
appropriate to the responsibilities of the position,
such as Visiting Professor, Adjunct Professor, Instructor,
Assistant Professor (Library), Assistant Professor
(Military), Lecturer, Assistant Research Professor
(see Policy
Statement #100, Research Appointments), or Artist-in-Residence.
All Special Faculty Appointments are for a specified
term of service. The letter of appointment shall
specify the length of the term of service. Special
Faculty Appointments may be paid or unpaid. Unpaid
faculty members may be appointed for a specific
term or at will; their pay and appointment status
should also be set out in the letter of appointment.
The
specification of the length of the appointment shall
be deemed to constitute full and timely notice of
nonreappointment when that term expires. Except
as provided in Section 3.4.2,
the University has no obligation to consider future
appointments for persons with such Special Faculty
Appointments. The “Principles of Employment for
Non-Tenure-Track Faculty” shall be considered in
the development of policies and procedures related
to persons holding Special Faculty Appointments.
Faculty
Members in Special Faculty Appointments shall not
be eligible for Permanent Tenure and are not entitled
to participate in the Process for Review of Unfavorable
RPT Decisions described in Section 7
of this document. During the term of their employment,
Faculty Members in Special Faculty Appointments are
entitled to seek recourse for employment related problems
and concerns under the UNC Charlotte “Procedures
for Resolving Faculty Grievances Arising from Section
607(3) of The Code of The University of North Carolina."
To
be qualified for the rank of Instructor, a person
shall be a candidate for the appropriate terminal
degree or present evidence of comparable professional
distinction in his or her field. An Instructor shall
be appointed for a term of one year. Ordinarily,
service as an Instructor should not exceed one year,
and in no case shall an Instructor serve in this
rank for more than two years. It is expected that
an Instructor will complete the work necessary to
be qualified for the rank of Assistant Professor
in two years or less. An Instructor who completes
the requirements for the rank of Assistant Professor
will be eligible to be considered for appointment
to an initial four-year term as Assistant Professor
at the beginning of the next academic year. Service
as an Instructor shall not be included when computing
the maximum seven-year period noted in Section
3.2 above.
3.4.2
Library Faculty Members in Certain Special Faculty
Appointments
Library
Faculty Members covered by the “Procedures for Initial
Appointment, Reappointment, and Promotion for Covered
Library Faculty at The University of North Carolina
at Charlotte” (“Covered Library Faculty”) hold Special
Faculty Appointments. Covered Library Faculty shall
be considered for appointment, reappointment, promotion,
and annual review as provided in those Procedures.
Covered Library Faculty Members may seek review
of a decision not to reappoint or not to promote
in accord with Section 7 below.
A
Faculty Member, either in a Professorial Rank or
in a Special Faculty Appointment, may at one time
hold only one full-time appointment at The University
of North Carolina at Charlotte. This appointment
may be held, by joint appointment, between or among
two or more departments, between or among a department
and one or more programs or centers, or by holding
an appointment to an administrative position concurrently
with a Faculty appointment. In all joint appointments,
the base unit of appointment shall be an academic
unit.
A
Faculty Member with Permanent Tenure who accepts
an administrative position within The University
of North Carolina at Charlotte shall retain Permanent
Tenure, and shall be judged for promotion according
to the same criteria and on the same schedule as
apply to other Permanently Tenured Faculty Members
in the Faculty Member's base unit. A Faculty Member
without Permanent Tenure who holds an administrative
position shall be considered for reappointment,
promotion, and conferral of Permanent Tenure according
to the same criteria, and on the same schedule,
as apply to Faculty Members of the same rank and
Tenure status in the Faculty Member's base unit.
Procedures for renewal of the joint administrative
appointment shall be specified in the original appointment
recommendation.
When
a joint appointment is to be made as part of an
initial appointment to the Faculty, the regular
procedures prescribed herein for initial appointment
to the rank proposed shall be followed simultaneously
by the units involved in making a joint recommendation
for appointment. The joint recommendation shall
designate one of the units as the unit of base appointment
and set forth, at a minimum, the terms and conditions
specified in the "Policy
Statement on Joint Appointments for Faculty"
included in the UNC
Charlotte Academic Personnel Procedures Handbook.
If the joint appointment is approved by the
Provost, thereafter the base unit is responsible
for processing personnel actions that affect the
joint appointee; but with respect to each such action,
the recommendation put forward shall be one jointly
concurred in by the units concerned as required
by their agreed procedures for joint consultation
and decision. An agreement signed by the Faculty
Member, the Provost, and the heads of the affected
units will describe the process for evaluating the
Faculty Member holding such joint appointment. The
Faculty Member shall be judged for promotion according
to the same criteria and on the same schedule as
apply to Faculty Members in the Faculty Member's
base unit.
When
a joint appointment is made for a person who is
already a member of the Faculty, the heads of the
affected units shall jointly put forward through
the regular channels for review of initial appointments
a recommendation that the existing appointment be
converted into a joint appointment. The joint recommendation
shall include the same elements required with respect
to a recommendation for initial joint appointment.
Upon approval of such a recommendation, the joint
appointee retains the same Faculty rank and Tenure
status as previously held, and shall enjoy the rights
associated with the Faculty position. Thereafter,
all personnel actions affecting his or her Faculty
appointment shall be processed as provided in the
case of an initial joint appointment.
The
provisions of this section do not apply to the creation
of adjunct appointments for persons who are currently
members of the Faculty of The University of North
Carolina at Charlotte.
3.6
Continued Availability of Special Funding
The
appointment, reappointment, or promotion of a Faculty
Member to a position funded in whole or in substantial
part from sources other than continuing State budget
funds or permanent trust funds shall specify in
writing that the continuance of his or her services,
whether for a specified term or for Permanent Tenure,
shall be contingent upon the continuing availability
of such funds. This contingency shall not be included
in a Faculty Member's appointment following promotion
if, before the effective date of that promotion,
the Faculty Member had Permanent Tenure and no such
contingency was attached to the conferral of Permanent
Tenure.
If
a Faculty Member's appointment is terminated because
these funds are not available, The University of
North Carolina at Charlotte shall make every reasonable
effort to give the same notice as set forth in Section
3.2. Furthermore, the University shall make
every reasonable effort to give at least twelve
months notice to Faculty Members with Permanent
Tenure.
A
Faculty Member may receive full or partial Leave
of Absence providing relief from full-time employment
responsibilities for a fixed period, upon recommendation
of the department chair and dean, and by written
agreement signed by the Provost or designee and
Faculty Member. The agreement shall specify the
effect of the leave on the timetable for consideration
of Tenure. (See The University of North Carolina
at Charlotte Policy Statement #46, "Leaves of Absence for Members
of the Faculty.")
Any
provisions for less than full-time employment in
an initial appointment to the Faculty must be specified
in the initial appointment document signed by the
appropriate University official.
3.8
Faculty Resignations and Retirements
A
Faculty Member who decides to resign or to retire
from The University of North Carolina at Charlotte
has the obligation to give timely written notice of
the decision, with its effective date, to his or her
immediate supervisor.
4
Procedures for Initial Appointment
4.1
Procedures for Initial Appointment
Each
College shall establish procedures for the initial
appointment of all Faculty Members, including how
search committees are formed and how they operate
to provide recommendations to the dean concerning
the appointment of full-time Faculty. Such procedures
shall be consistent with the UNC
Charlotte Academic Personnel Procedures Handbook,
this document, and, for Special Faculty Appointments,
procedures developed by the applicable College that
are consistent with the “Principles of Employment
for Non-Tenure-Track Faculty.”
College
procedures shall provide that the department chair
shall consider the recommendation of the Department
Review Committee (DRC; see Section
5.3 below) before forwarding to the dean
any recommendation that will confer Permanent Tenure
in an initial appointment. The department chair
shall forward to the dean the recommendation and
rationale of the DRC along with his or her recommendation
and rationale. College procedures may also provide
additional requirements for review and consultation
in the initial appointment process.
For
Assistant Professor and Special Faculty Appointments,
the dean of the College, after consulting with the
department chair, shall forward his or her decision
to appoint along with the necessary documentation
to the Provost. The dean shall forward to
the Provost a recommendation to appoint any Associate
Professor or Professor, or any recommendation for
an appointment that will carry Permanent Tenure.
The
Provost shall have final authority to make decisions
to appoint Associate Professors and Professors without
Permanent Tenure. For an appointment that would
confer Permanent Tenure, the Provost shall make
a recommendation to the Chancellor.
If
the Chancellor decides not to recommend an appointment
that would confer Permanent Tenure, that decision
is final. If the Chancellor concurs with a recommendation
from the Provost to make an appointment that would
confer Permanent Tenure, the Chancellor shall forward
his or her recommendation to the Board of Trustees
for final approval.
Any
deliberations by a search committee concerning appointment
for a particular Faculty Member shall be held in closed
session, with only those present whom the committee
deems necessary to its deliberations.
All
documents submitted or created in connection with
the process of review for initial appointment and
the information contained therein, as well as information
derived from any discussions that are part of the
formal review, are considered confidential personnel
information. All persons participating in the process
of review for initial appointment shall treat such
information as confidential. Such confidential records
and information shall not be disclosed to or discussed
with any person except: (1) search committee members
(2) those persons required or permitted to be consulted
in accord with the requirements of department, College,
or University policies; or (3) those persons permitted
access to such documents by law. Violation of this
section may expose any Faculty Member, including an
administrator, to the imposition of serious sanctions
pursuant to Section 8 below.
4.4
Terms and Conditions of Appointment
The
general terms and conditions and any specific terms
and conditions of each initial appointment and of
each reappointment to the Faculty shall either be
set forth in the document of appointment or reappointment
or shall be incorporated therein by clear reference
to specified documents that shall be readily available
to the Faculty Member. A copy of the terms, signed
by the Chancellor or a delegated officer, shall be
delivered to and signed by the Faculty Member.
5
Review Committees for Faculty Members in Professorial
Ranks
Any
deliberations by a department or College review committee
concerning reappointment, promotion, or the conferral
of Permanent Tenure for a particular Faculty Member
shall be held in closed session, with only those present
whom the committee deems necessary to its deliberations.
All
documents submitted or created in connection with
the process of review for reappointment, promotion,
or the conferral of Permanent Tenure, and the information
contained therein, as well as information derived
from any discussions that are part of the formal review,
are considered confidential personnel information.
All persons participating in the process of review
for initial appointment, reappointment, promotion,
or the conferral of Permanent Tenure shall treat such
information as confidential. Such confidential records
and information shall not be disclosed to or discussed
with any person except: (1) review committee members;
(2) those persons required or permitted to be consulted
in accord with the requirements of department, College,
or University policies; or (4) those persons permitted
access to such documents by law. Violation of this
section may expose any Faculty Member, including an
administrator, to the imposition of serious sanctions
pursuant to Section 8 below.
5.3
Department Review Committee (DRC) on Reappointment,
Promotion, and the Conferral of Permanent Tenure
In
Colleges with formal departmental structure, each
department shall have a Department Review Committee
(DRC) that provides the department chair with recommendations
on reappointment, promotion, and the conferral of
Permanent Tenure. The DRC shall be elected by the
department Faculty from the department
Faculty who have full-time appointments holding
Professorial Rank. Election shall be according to
procedures established by the department Faculty.
At least three Permanently Tenured Faculty Members
shall serve as the voting members of the committee,
and the Permanently Tenured members shall have a
majority. Permanently Tenured Faculty Members from
other departments may be selected, according to
a procedure approved by the department Faculty,
as voting members only if necessary to constitute
the committee. Faculty Members without Permanent
Tenure who hold Professorial Rank may serve only
as nonvoting participants, as determined by the
department. The committee shall elect its chair
from its Permanently Tenured members.
No
dean, department chair, associate dean, or assistant
dean may serve on the DRC.
A
department may permit, pursuant to its own policies,
Tenure Track Faculty Members who are not members
of the DRC to observe the DRC as it conducts its
deliberations; provided that the chair of the DRC
informs such observers that they are bound by the
confidentiality requirements set forth in Section
5.2.
In
Colleges without formal departmental structure or
in Colleges with Schools, the Faculty will create
procedures for review for reappointment, promotion,
and the conferral of Permanent Tenure for Tenure
Track Faculty that provide the opportunity for two
separate and independent reviews within the College.
A document that describes these procedures will
be reviewed by the College Faculty and approved
by the Provost.
5.4
College Review Committee (CRC) on Reappointment,
Promotion, and the Conferral of Permanent Tenure
Each
College shall have a College Review Committee (CRC)
that provides the dean with recommendations on
reappointment, promotion, and the conferral of Permanent
Tenure. The committee shall be elected by the College
Faculty from the Permanently Tenured Faculty of
the College who hold full-time appointments. Election
shall be according to procedures established by
the College Faculty that provides for the election
of at least three members. The CRC shall elect its
chair from its members.
Colleges
shall have procedures ensuring that no Faculty Member
participates in the same case as a member of both
the DRC and the CRC in reviewing or providing recommendations
about reappointment, promotion, or the conferral
of Permanent Tenure.
No
dean, department chair, associate dean, or assistant
dean may serve on the CRC.
It
is the responsibility of members of the CRC to act
in the interest of the College in general. Members
of the CRC do not serve on that body to represent
the interests of their home departments in supporting
or opposing the case of any Faculty Member under
consideration by the CRC.
6
Procedures for Review for Reappointment, Promotion,
and the Conferral of Permanent Tenure for Faculty
Members in Professorial Ranks
Each
positive or negative determination and the rationale
for such determination on reappointment, promotion,
or conferral of Permanent Tenure made by a chair or
a dean shall be provided in writing to the Faculty
Member to whom it pertains simultaneously with its
transmittal to the next administrative level. Each
positive or negative decision of the Provost or the
Chancellor and the rationale for any negative decision
on reappointment, promotion, or conferral of Permanent
Tenure shall be provided in writing to the Faculty
Member to whom it pertains simultaneously with its
transmittal to the next administrative level. That
Faculty Member shall have access to all documents
that are part of the decision-making process.
6.2
Permissible and Impermissible Grounds for Decisions
Except
as herein provided, determinations and decisions pertaining
to reappointment, promotion, and conferral of Permanent
Tenure are, without further recourse, the responsibility
of the officers of administration authorized to make
them, acting in accordance with procedures prescribed
herein. In exercise of their judgment, whether in
the first instance or in review of recommendations,
such officers may take into account and use as the
basis of decision, in whole or in part, any factors
deemed relevant to total institutional interests,
except that in no event shall an Unfavorable RPT Decision
be based upon Impermissible Grounds or Material Procedural
Irregularities as defined in Section
1 of this document.
6.3.1
Faculty Member’s Right to Terminate Review
A
Faculty Member may terminate a review for reappointment,
promotion, or the conferral of Permanent Tenure
at any time prior to notification of the Provost’s
final decision under Section 6.3.4
below by delivering a signed written request for
termination of review to the department chair,
with copies to the dean and Provost. The department
chair, dean, or Provost shall respond in writing
to the request. If the request is granted, the
termination of the review is irrevocable.
If
the review terminated by the Faculty Member included
the question of reappointment, employment in the
Professorial Rank will not extend beyond the end
of the current term of employment.
If
the review terminated by the Faculty Member included
the question of promotion or of the conferral of
Permanent Tenure when such review is not mandated
by Section 3.2, then the review
shall be terminated. The termination of a review
under these circumstances shall have no effect on
voluntary or Mandatory Reviews in subsequent academic
years.
6.3.2
Departmental Review
In
all review cases, the deadline for submission
of full dossiers may not be earlier than the first
day of the academic year during which the review
will take place. Notwithstanding the immediately
preceding sentence, departments may set earlier
deadlines with regard to the submission of any
materials or information needed to obtain external
review letters.
The
Permanently Tenured Faculty Members in the department,
other than those who will participate in the review
process at another level, who are at or above
the rank for which a candidate is under consideration
shall be provided an opportunity to review the
candidate's dossier and provide advice to the
DRC. Evaluations of the candidate’s dossier by
the DRC and by the chair are intended to be separate
and independent. However, the DRC may invite the
department chair into its discussions if the DRC
unanimously determines that doing so will assist
in its deliberations. The DRC shall submit its recommendation(s) and rationale(s)
whether or not to reappoint, to promote, or to
confer Permanent Tenure to the department chair
after considering the advice provided by such
Permanently Tenured Faculty. If the department
chair’s determination is positive on each action
under review, he or she shall, after consulting
with the assembled DRC, submit his or her determination
and rationale, together with the recommendation(s)
and rationale(s) of the DRC, to the dean of the
College.
If,
after consulting with the assembled DRC,
the department chair determines not to reappoint,
promote, or confer Permanent Tenure for a Faculty
Member under review, he or she shall meet with
the Faculty Member to provide the Faculty Member
with a copy of that determination and its rationale,
and to explain the Faculty Member’s right of rebuttal.
Within fourteen days after this meeting, the Faculty
Member may submit to the dean and the chair his
or her written rebuttal to the chair’s determination.
Upon receipt of the Faculty Member’s rebuttal,
or at the end of fourteen days after the chair
meets with the Faculty Member if the Faculty Member
does not submit a rebuttal, the chair shall submit
his or her determinations and rationales, together
with the recommendations and rationales of the
DRC, to the dean of the College.
After receipt of the determinations
and rationales of the department chair and the
recommendations and rationales of the DRC, and
the Faculty Member’s rebuttal to the chair’s determination,
if any, the dean shall deliver such documents
to the CRC. The CRC shall submit its recommendations
and rationales to the dean. If the dean’s determination
is positive on each action under review for a
Faculty Member, he or she shall, after consulting
with the assembled CRC, submit his or her determinations
and rationales, together with the recommendations
and rationales of the CRC and the DRC, the determinations
and rationales of the department chair, and
the Faculty Member’s rebuttal(s), if any, to the Provost.
If,
after consulting with the assembled CRC, the dean
determines not to reappoint, promote, or confer
Permanent Tenure for a Faculty Member under review,
he or she shall meet with the Faculty Member to
provide the Faculty Member with a copy of that
determination and its rationale, and to explain
the Faculty Member’s right of rebuttal. Within
ten Days after this meeting, the Faculty Member
may submit to the Provost and the dean his or
her written rebuttal to the dean’s determination.
Upon receipt of the Faculty Member’s rebuttal,
or at the end of ten Days after the dean meets
with the Faculty Member if the Faculty Member
does not submit a rebuttal, the dean shall submit
his or her determinations and rationales, together
with the recommendations and rationales of the
CRC and the DRC, the determinations and rationales
of the department chair, and the Faculty
Member’s rebuttal(s), if any, to the
Provost.
In
each case regarding reappointment, promotion, or
the conferral of Permanent Tenure, the Provost shall
consider the recommendations and rationales from
the DRC and the CRC, determinations and rationales
from the chair and the dean, and the Faculty Member’s
rebuttal(s), if any, before making his or her decision
or recommendation.
If
the Provost decides not to reappoint, promote,
or confer Permanent Tenure on a Faculty Member,
he or she shall, by written statement, notify
the Faculty Member under consideration of that
decision and its rationale. Such notice, when
concerning reappointment, or when concerning conferral
of Permanent Tenure in connection with a Mandatory
Review for reappointment, constitutes full and
timely notice of nonreappointment as required
in Section 3.2.
If
the Provost makes a positive recommendation to
confer Permanent Tenure, he or she shall submit
such recommendation to the Chancellor together
with the recommendations and rationales
from the DRC and the CRC, determinations and rationales
from the chair and the dean, and the Faculty Member’s
rebuttal(s), if any.
All
decisions of the Provost regarding reappointment
and promotion, as well as negative decisions regarding
the conferral of Permanent Tenure, are final and
cannot be appealed on the merits. A Faculty Member
who contends that the decision was based on Impermissible
Grounds or Material Procedural Irregularities at
any point in the review process may seek a hearing
on that contention in accordance with the procedures
in Section 7.
6.3.5
Chancellor’s Review
The Chancellor shall consider
recommendations from the Provost to confer Permanent
Tenure. If the Chancellor concurs in a recommendation
from the Provost to confer Permanent Tenure, the
Chancellor shall forward his or her recommendation
to the Board of Trustees for final approval.
The Chancellor’s decision
not to confer Permanent Tenure is a final decision.
If the Chancellor decides not to recommend conferral
of Permanent Tenure, he or she shall, by written
statement, notify the Faculty Member under consideration
of that decision and its rationale. If the Chancellor’s
decision not to confer Permanent Tenure occurs
in connection with a Mandatory Review for reappointment,
such notice constitutes full and timely notice
of nonreappointment
as required in Section 3.2.
A Faculty Member who contends that the Chancellor’s
decision was based on Impermissible Grounds or
Material Procedural Irregularities may seek a
hearing on that contention in accordance with
the procedures in Section 7.
7
Process for Review of Unfavorable RPT Decisions
7.1
Applicability and Purpose
The
hearing process provided in this Section
7 is applicable to all Faculty Members in Professorial
Ranks and Library Faculty Members holding appointments
described in Section 3.4.2.
The
purpose of the review process is to determine whether,
by a preponderance of the evidence, a Faculty Member
has established that an Unfavorable RPT Decision
was based on Impermissible Grounds or Material Procedural
Irregularities. Once a Faculty Member has initiated
the review process pursuant to Section
7.3 below, the Hearing Committee shall make
one of the following decisions: (1) that a hearing
will not be granted, (2) that the hearing should
be concluded after the presentation of the Faculty
Member’s evidence, because the Faculty Member’s
evidence was insufficient to require a rebuttal,
(3) that, after a full hearing, the Faculty Member
has not established by a preponderance of the evidence
that the Unfavorable RPT Decision was based on Impermissible
Grounds or Material Procedural Irregularities, ((1)
through (3) hereinafter collectively “unfavorable
Hearing Committee decision”); or (4) that the Unfavorable
RPT Decision was based on Impermissible Grounds
or Material Procedural Irregularities.
The
process for review of decisions to discharge or
to impose other serious sanctions is set forth in
Section 8 below. The process for
review of decisions to terminate is set forth in
Section 9 below.
The
Hearing Committee shall hear cases of decisions
not to reappoint, not to promote, not to confer
permanent tenure, discharge, the imposition of serious
sanctions, or termination in accordance with the
procedures described in Sections 7,
8, and 9 herein.
7.2.2
Composition, Terms of Office, and Election
7.2.2.1
Composition and Eligibility
The
Hearing Committee shall consist of sixteen members.
The Committee members shall be Permanently Tenured
Faculty Members who are elected by the Faculty.
No department chair or senior administrative officer
shall serve on the Committee. The Committee shall
elect its chair each year.
Committee
members shall serve four-year terms and may
serve no more than two consecutive terms. The
term of office shall begin and end on the first
day of the academic year.
Committee
members may be recalled by a two-thirds vote
of the Faculty present at a general Faculty
meeting.
The
Faculty shall elect the Hearing Committee members
in accordance with the procedures set forth in
the Constitution of the Faculty
and the Standing Rules of the Faculty
Council of The University of North Carolina
at Charlotte.
7.2.3
Conflicts of Interest, Bias, Incapacity, or Temporary
Vacancy
A
Committee member is disqualified and shall not
participate as a Committee member in the proceedings
described in Sections 7, 8,
and 9 herein if he or she: (1)
holds an appointment in the department of a person
directly involved in a hearing, (2) served on
a committee that previously considered the case,
(3) will testify as a witness at the hearing,
(4) has any other conflict of interest, bias,
or is unable for any reason to assess the evidence
fairly, impartially, and without prejudice.
If
such Committee member does not recuse himself
or herself from the proceedings,
the Faculty Member or the administrator
involved in a hearing may challenge the participation
of any member of the Hearing Committee on grounds
of bias or a personal relationship that might
affect impartial consideration of the case. The
Committee, excluding the member challenged, shall
consider the charge of bias and, if it determines
possible bias, shall disqualify the member challenged.
If the disqualified member is the Committee chair,
the remaining Committee members shall elect one
of the members to fill the vacancy while these
conditions exist. The Committee shall also select
one of its members to replace the chair if he
or she is incapacitated or absent.
If
the Committee should have an insufficient number
of qualified members to carry out its obligations
because of conflicts of interest, bias, incapacity,
or temporary vacancy, elections shall be held
promptly in accordance with the Standing Rules of the Faculty Council of The University of North
Carolina at Charlotte to staff the Committee
while these conditions exist. If the need arises
during the summer terms, the Faculty President
in consultation with the Faculty Executive Committee
may make temporary appointments to fill vacancies
on the Committee. If a permanent vacancy occurs,
elections shall also be held promptly in accordance
with the Standing
Rules of the Faculty Council of The University
of North Carolina at Charlotte to fill the
vacancy for the unexpired term.
7.2.4
Closed Sessions
Any
deliberations by the Hearing Committee concerning
an Unfavorable RPT Decision shall be held in closed
session, with only those present whom the Committee
deems necessary to its deliberations.
Documents
submitted or created in connection with all matters
that come before the Hearing Committee, and the
information contained therein, shall be treated
as confidential personnel information. Such confidential
records and information derived from any discussions
that are part of the formal hearing process shall
not be disclosed to or discussed with any person
except: (1) those participating in the hearing
as provided in these policies; (2) those persons
required or permitted to be consulted in accord
with the requirements of department, College,
or University or Board of Governors policies;
or (3) those persons permitted access to such
documents by law. Violation of this section may
expose a Faculty Member, including an administrator,
to the imposition of serious sanctions pursuant
to Section 8 below.
7.3
Request for Hearing; Avoiding Improper Communications
A
Faculty Member who has received an Unfavorable RPT
Decision and who has exhausted the review procedures
of Section 6, or who is a Library
Faculty Member holding an appointment described
in Section 3.4.2 and who has
received an unfavorable decision on reappointment
or promotion from the University Librarian, and
who believes the Unfavorable RPT Decision was based
on Impermissible Grounds or on Material Procedural
Irregularities can take that contention to the Hearing
Committee. Whether Material Procedural Irregularities
occurred shall be determined by reference to those
procedures that were in effect when the initial
Unfavorable RPT Decision was made and communicated.
The Hearing Committee shall ask the Chancellor (Board
of Trustees if the Chancellor is an administrator
who will be involved in the hearing) to certify
what procedures were then in effect if that is a
matter of dispute.
The
Faculty Member is responsible for activating the
hearing process. Within fourteen days after receiving
written notice from the Provost (University Librarian
if the Faculty Member is a Library Faculty Member
holding an appointment described in Section
3.4.2; Chancellor if the Chancellor is an administrator
who would be involved in the hearing) of an Unfavorable
RPT Decision, the Faculty Member seeking to initiate
the process shall file a written statement with
the Hearing Committee. The statement shall be addressed
to the chair of the Hearing Committee with a copy
to the Provost (University Librarian if the Faculty
Member is a Library Faculty Member holding an appointment
described in Section 3.4.2;
Chancellor if the Chancellor is an administrator
who would be involved in the hearing). It shall
specify the contention(s), identify the administrator(s)
and/or other party(ies) whose recommendation, determination,
or decision was based on Impermissible Grounds or
Material Procedural Irregularities, and outline
the facts that the Faculty Member can provide to
support the contention(s). The Hearing Committee
shall reject any statement that does not include
these required specifications.
Once
a Faculty Member has initiated the hearing process,
no Hearing Committee member may engage in an ex
parte communication (written, oral, email, or otherwise)
concerning the case with the Faculty Member or with
the administrator(s) alleged to be responsible.
If
the Faculty Member does not file a written statement
meeting the required specifications with the Hearing
Committee within fourteen days of an Unfavorable
RPT Decision, the Unfavorable RPT Decision is final
without recourse to any further review by the Hearing
Committee, the University or the Board of Governors.
7.4
Decision to Grant a Hearing
Within
fourteen days of receiving the written statement
from the Faculty Member, the Hearing Committee shall
consider it and decide whether to grant a hearing.
The Hearing Committee shall grant a hearing if it
determines that the Faculty Member's statement contends
that the Unfavorable RPT Decision was based on Impermissible
Grounds or Material Procedural Irregularities and
the facts outlined, if established, might support
the contention.
If
the Hearing Committee decides not to grant
a hearing, it shall immediately provide written
notice of that decision and its rationale to the
Faculty Member and the Provost (University Librarian
if the Faculty Member is a Library Faculty Member
holding an appointment described in Section
3.4.2; Chancellor if the Chancellor is an administrator
who would be involved in the hearing). Such a ruling
confirms the Unfavorable RPT Decision. The Faculty
Member may request that the Chancellor (Board of
Trustees if the Chancellor is an administrator who
would be involved in the hearing) review the Hearing
Committee's decision.
If
the Hearing Committee decides to grant a hearing,
the chair of the Hearing Committee shall select
from its members a hearing panel of five who will
hear and decide the case on behalf of the Hearing
Committee. All of its members shall be free of any
bias or conflict of interest (see Section
7.2.3). The panel shall elect its chair. The
chair of the hearing panel shall then notify the
Faculty Member and the Provost of the intent to
conduct a hearing. Such notification shall identify
the membership of the panel.
Within
seven days after receiving this notification, the
Faculty Member or the Provost (Chancellor if the
Chancellor is an administrator who would be involved
in the hearing) may request that the chair of the
hearing panel consider substitution of another member
of the Hearing Committee for any member of the panel
believed to have a conflict of interest or bias,
and the remaining members of the panel shall decide
the issue. If the request is for substitution for
the chair of the panel, the chair of the Hearing
Committee shall review the request for substitution
with the parties involved and shall decide the issue.
After the final panel is established by the chair
of the hearing panel or the chair of the Hearing
Committee, the chair of the panel shall consult
with the parties to schedule a hearing. The hearing
shall begin from seven to twenty-one days after
notification from the chair of the Hearing Committee
that it will conduct a hearing.
7.5
Conduct and Rules of the Hearing
The
Hearing Committee is authorized to establish rules
and procedures for conducting hearings, which
shall be available on the Academic Affairs website.
Such rules and procedures shall be consistent with
this document and Section 604D of The Code and are
subject to approval by the Chancellor or the Chancellor’s
designee.
7.6
Procedure After Hearing
7.6.1
Hearing Committee Actions After Hearing
If
the Hearing Committee makes
an unfavorable Hearing Committee decision
as set forth in Section 7.1 above,
or if the Hearing Committee concludes that
the Faculty Member has established that an Unfavorable
RPT Decision was based on Impermissible Grounds
or Material Procedural Irregularities, it shall
provide the Faculty Member and the Chancellor (Board
of Trustees if the Chancellor is an administrator
involved in the hearing) written notice of the decision
and the rationale for that decision, with a copy
to the Provost (University Librarian if the Faculty
Member is a Library Faculty Member holding an appointment
described in Section 3.4.2;
Chancellor if the Chancellor is an administrator
involved in the hearing).
An unfavorable Hearing Committee decision confirms
the original Unfavorable RPT Decision. The Faculty
Member may request that the Chancellor (Board
of Trustees if the Chancellor is an administrator
involved in the hearing) review
the Hearing Committee's decision.
7.6.2
Chancellor’s Actions After Hearing
Upon
receiving a Faculty Member’s request for review
of an unfavorable Hearing Committee decision,
as set forth in Section 7.1 above;
or upon receiving the Committee’s decision that
one or more contentions has been established by
a preponderance of evidence, the Chancellor (Board
of Trustees if the Chancellor is an administrator
involved in the hearing) shall thoroughly review
the record of evidence from the hearing, if a
hearing was held, and the decision and rationale
of the Hearing Committee.
If
the Chancellor (Board of Trustees if the Chancellor
is an administrator involved in the hearing) is
considering taking an action that is inconsistent
with a decision or recommendation of the Hearing
Committee, the Chancellor (Board of Trustees if
the Chancellor is an administrator involved in
the hearing) may first consult with the Hearing
Committee in person or in writing, to discuss
any concerns he or she (it) may have.
The
Chancellor (or Board of Trustees if the Chancellor
is an administrator involved in the hearing) shall
provide written notice of his or her (its) decision.
If the hearing process results in a determination
that the decision was based on Impermissible Grounds
or on Material Procedural Irregularities, and if
the Chancellor (or Board of Trustees if the Chancellor
is an administrator involved in the hearing) agrees
with this determination, the Chancellor (or Board
of Trustees if the Chancellor is an administrator
involved in the hearing) will decide on appropriate
remedial action, typically reconsideration through
a review process conducted by an individual or group
who did not participate in the original Unfavorable
RPT Decision.
7.6.3
Actions Subsequent to Chancellor’s Decision
The
Chancellor’s written notice of decision in the
case of a nonpromotion or nonreappointment decision
for a Library Faculty Member holding an appointment
described in Section 3.4.2,
or for a nonpromotion decision not involving
a question of reappointment for a Faculty Member
in the Professorial Ranks, may be appealed to
the Board of Trustees under procedures described
in Section VIII.I of the UNC Charlotte “Procedures for Resolving
Faculty Grievances Arising from Section 607(3)
of The Code of The University of North Carolina.”
If the decision is made by the Board of Trustees,
it is a final decision and may not be further
appealed.
In
a nonreappointment case involving a Faculty Member
in the Professorial Ranks, the Chancellor (or
Board of Trustees if the Chancellor is an administrator
involved in the hearing) shall notify the Faculty
Member, the relevant administrators, and the Hearing
Committee of his or her (its) decision in writing,
by a method that produces adequate evidence of
delivery.
If
the Chancellor’s decision (or Board of Trustees’
decision if the Chancellor is an administrator
involved in the hearing) does not modify the decision
not to reappoint a Faculty Member in the Professorial
Ranks, the notice of decision shall (1) state
that the Faculty Member has the right to appeal
to the Board of Governors from the Chancellor’s
decision (or Board of Trustees’ decision if the
Chancellor is an administrator involved in the
hearing’) not to reappoint the Faculty Member;
(2) state that the Faculty Member’s written notice
of appeal must contain a brief statement of the
basis for the appeal; (3) state that to be effective,
such notice of appeal must be filed with the Office
of the President, by certified mail, return receipt
requested, or some other means that provides proof
of delivery, within fourteen days after the Faculty
Member’s receipt of the Chancellor’s decision
(or Board of Trustees’ decision if the Chancellor
is an administrator involved in the hearing);
and (4) that the Office of the President will
subsequently inform the Faculty Member of the
schedule for submission of the relevant documents.
The
purpose of the appeal to the Board of Governors
is to assure (1) that the University process for
reviewing the decision in a nonreappointment case
was not materially flawed, so as to raise questions
about whether the Faculty Member’s contentions
were fairly and reliably considered, (2) that
the result reached by the Chancellor (or Board
of Trustees if the Chancellor is an administrator
involved in the hearing) was not clearly erroneous,
and (3) that the decision was not contrary to
controlling law or policy. Faculty Members considering
appeal to the Board of Governors from the Chancellor’s
decision in a nonreappointment case are encouraged
to review Board of Governors’ Policy
101.3.1, Part III.
8
Due Process Before Discharge or the Imposition of
Other Serious Sanctions
A
Faculty Member, who is the beneficiary of institutional
guarantees of Tenure, shall enjoy protection against
unjust and arbitrary application of disciplinary
penalties. During the period of such guarantees
the Faculty Member may be discharged from employment,
suspended, or demoted in rank only for reasons of:
(a)
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;
(b)
neglect of duty, including sustained failure to
meet assigned classes or to perform other significant
faculty professional obligations; or
(c) misconduct of such a nature as to indicate that
the individual is unfit to continue as a member
of the Faculty, including violations of professional
ethics, mistreatment of students or other employees,
research misconduct, financial fraud, criminal or
other illegal, inappropriate or unethical conduct.
To justify serious disciplinary action, such misconduct
should be either (i) sufficiently related to a Faculty
Member’s academic responsibilities as to disqualify
the individual from effective performance of University
duties, or (ii) sufficiently serious as to adversely
reflect upon the individual’s honesty, trustworthiness
or fitness to be a Faculty Member.
These serious sanctions may be imposed only in accordance
with the procedures prescribed in this Section
8. For purposes of this document, a Faculty
Member serving a stated term shall be regarded as
having Tenure until the end of that term. These
procedures shall not apply to nonreappointment (Sections
5 and 6) or
termination of employment (Section
9).
8.2
Notice of Intent to Discharge or Impose Other Serious
Sanctions
The
Provost shall send the Faculty Member by Formal Notice
(see Section 1.7) a written notice
of intention to discharge or impose a serious sanction
together with a written specification of the reasons.
The notice and specification of reasons shall be sent
by a method of mail or delivery that requires a signature
for delivery. The statement shall include notice of
the Faculty Member's right, upon request, to a hearing
by the Hearing Committee described in Section
7.1.
8.3
Failure to Respond to Notice of Intent to Discharge
or Impose Other Serious Sanctions
If,
within fourteen days after receipt of the notice and
written specifications referred to in Section
8.2 above, the Faculty Member makes no written
request for a hearing, he or she may be discharged
or sanctioned without recourse to any institutional
grievance or appeal procedure.
8.4
Hearing Committee; Commencement of Hearing
If
the Faculty Member makes a timely written request
for a hearing, the Chancellor shall ensure a process
is in place that the hearing is timely accorded before
the Hearing Committee. Decisions and recommendations
of the Hearing Committee shall be made by the full
Committee. However, the Hearing Committee may delegate
the duty of conducting a hearing and providing the
Chancellor with recommendations on behalf of the Hearing
Committee to a panel of at least three members of
the Hearing Committee. The panel shall elect its chair.
The hearing shall be on the written specification
of reasons for the intention to discharge or to impose
serious sanctions. The Hearing Committee or its panel
shall accord the Faculty Member thirty days from the
time it receives his or her written request for a
hearing to prepare a defense. The Hearing Committee
or its panel may, upon the Faculty Member's written
request and for good cause, extend this time by written
notice to the Faculty Member. The Hearing Committee
will ordinarily endeavor to complete the hearing within
ninety days except under unusual circumstances, such
as when a hearing request is received during official
University breaks and holidays or when, despite reasonable
efforts, the Committee cannot be assembled. (To
meet this deadline, Faculty are encouraged to consider
scheduling hearings during the evening, weekend or
other non-class time. It is strongly recommended that
several days and times be established for the hearing
when scheduling the first day, for the eventuality
that the hearing may take two or more sessions.)
8.5
Procedures Required for Hearing
The
hearing shall be closed to the public unless the
Faculty Member and the panel agree that it may be
open. The Faculty Member shall have the right to
counsel, to present the testimony of witnesses and
other evidence, to confront and cross-examine adverse
witnesses, to examine all documents and other adverse
demonstrative evidence, and to make argument. A
written transcript of all proceedings shall be kept;
upon request, a copy thereof shall be furnished
to the Faculty Member at the University's expense.
The Provost, Provost’s
designee, and/or counsel, may participate in the hearing
to present testimony of witnesses and other evidence,
to cross-examine witnesses, to examine all documents
and other evidence, and to make argument.
8.7
Evidence and Recommendations
In
reaching decisions on which its written recommendations
to the Chancellor shall be based, the Hearing Committee
shall consider only the evidence presented at the
hearing and such written and oral arguments as the
Committee or its panel may allow. The University has
the burden of proof. In evaluating the evidence, the
Committee shall use the standard of “clear and convincing”
evidence in determining whether the University has
met its burden of showing that permissible grounds
for serious sanction exist and are the basis of the
recommended action. The Hearing Committee shall make
its written recommendations to the Chancellor within
fourteen days after its hearing concludes or fourteen
days after the full transcript is received, whichever
is later.
8.8
Procedure After Hearing
If
the Chancellor concurs in a recommendation of the
Hearing Committee that is favorable to the Faculty
Member, the Chancellor's decision shall be final.
If the Chancellor either declines to accept a Committee
recommendation that is favorable to the Faculty
Member or concurs in a Committee recommendation
that is unfavorable to the Faculty Member, the Faculty
Member may appeal the Chancellor's decision to the
Board of Trustees. This appeal shall be transmitted
through the Chancellor and be addressed to the chair
of the Board. Notice of appeal shall be filed within
fourteen days after the Faculty Member receives
the Chancellor's decision. The appeal to the Board
of Trustees shall be decided by the full Board of
Trustees. However, the Board may delegate the duty
of conducting a hearing to a standing or ad hoc
committee of at least three members. The Board of
Trustees, or its committee, shall consider the appeal
on the written transcript of hearings held by the
Faculty hearing committee, but it may, in its discretion,
hear such other evidence as it deems necessary.
The Board of Trustees' decision shall be made as
soon as reasonably possible after the Chancellor
has received the Faculty Member's request for an
appeal to the Board of Trustees. This decision shall
be final except that the Faculty Member may, within
fourteen days after receiving the Board of Trustees’
decision, file a written notice of appeal by certified
mail, return receipt requested, or by another means
that provides proof of delivery, with the Board
of Governors if the Faculty Member alleges that
one or more specified provisions of The Code of
The University of North Carolina have been violated.
Any such petition to the Board of Governors shall
be transmitted through the President.
8.9
Suspension Pending Final Decision
When
a Faculty Member has been notified of the University’s
intention to discharge or impose other serious sanctions,
the Chancellor may reassign the individual to other
duties or suspend the individual at any time to
conduct an investigation and/or until a final decision
concerning discharge or other serious sanctions
has been reached by the procedures prescribed herein.
Suspension for such purposes as are set out in the
preceding sentence shall be exceptional, shall be
with full pay, and is not a sanction.
9
Termination of Faculty Employment
9.1
Reasons Justifying Termination and Consultation
Required
9.1.1
Reasons for Terminating Employment
The
employment of any member of the Faculty (see Section
1.4) may be terminated by The University of
North Carolina at Charlotte because of (1) demonstrable,
bona fide institutional Financial Exigency (as defined
in Section 1.6); or (2) major
curtailment or elimination of a teaching, research,
or public service program. 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 9.1.2,
subject to concurrence by the President and then
approval by the Board of Governors. If the Financial
Exigency or curtailment or elimination of program
is such that the University’s contractual obligation
to a Faculty Member cannot be met, the employment
of the Faculty Member may be terminated in accordance
with the institutional procedures set forth in Section
9.2.
9.1.2
Consultation with Faculty and Administrative Officers
When
it appears that The University of North Carolina
at Charlotte will experience an institutional Financial
Exigency or when it is considering a major curtailment
in or elimination of a teaching, research, or public
service program, the Chancellor or Chancellor's
delegate 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
Termination Procedures
9.2.1
Consideration in Determining Whose Employment
Is to Be Terminated
When
it has been determined that Faculty positions
are to be terminated for the reasons set forth
in Section 9.1.1, the Chancellor
or Chancellor's delegate shall seek the advice
and recommendations of the academic administrative
officers and representatives of the faculties
of the departments or other units that might be
affected to determine which Faculty Member's employment
is to be terminated.
In
determining which Faculty Member's employment
is to be terminated for the reasons set forth
in Section 9.1.1, consideration
shall be given to Tenure status, to years of service
to the University, and to other factors deemed
relevant, but the primary consideration shall
be the maintenance of a sound and balanced educational
program that is consistent with the functions
and responsibilities of the University.
9.2.2
Timely Notice of Termination
When
a Faculty Member's employment is to be terminated
because of major curtailment or elimination of
a teaching, research, or public service program
and such curtailment or elimination of program
is not founded upon Financial Exigency, the Faculty
Member shall be given timely notice. A Faculty
Member who has Permanent Tenure shall be given
not less than twelve months notice. A Faculty
Member who was appointed to a fixed term and does
not have Permanent Tenure shall be given notice
in accordance with the requirements specified
in Section 604A(1)(a)-604A(1)(c) of The Code.
When
a Faculty Member's employment is to be terminated
because of Financial Exigency, the University
shall make every reasonable effort, consistent
with the need to maintain sound educational programs
and within the limits of available resources,
to give the same notice as set forth in the preceding
paragraph.
9.2.3
Type of Notice to Be Given
The
Chancellor or Chancellor's delegate shall send the
Faculty Member whose employment is to be terminated
a written statement of this fact by Formal Notice.
This notice shall include: (1) a statement of the
conditions requiring termination of employment;
(2) a general description of the procedures followed
in making the decision; (3) a disclosure of financial
or other data upon which the decision was based;
(4) a statement of the Faculty Member's right, upon
request, to a reconsideration of the decision by
the Hearing Committee if he or she alleges that
the decision to terminate him or her rather than
another Faculty Member was arbitrary or capricious;
and (5) a copy of this procedure on termination
of employment.
9.2.4
Termination If Reconsideration Is Not Requested
If,
within fourteen days after receipt of the notice
required by the previous paragraph, the Faculty
Member makes no written request by Formal Notice
for a reconsideration hearing, employment will be
terminated at the date specified in that notice
without recourse to any institutional grievance
or appeal procedure.
9.2.5
Request for Reconsideration Hearing
Within
fourteen days after receiving the notice specified
above, the Faculty Member may request by Formal
Notice a reconsideration of the decision to terminate
employment if he or she alleges that the decision
was arbitrary or capricious. The request shall
be submitted to the Chancellor and shall specify
the grounds upon which it is contended that the
decision to terminate his or her employment was
arbitrary or capricious and shall include a short,
plain statement of facts that the Faculty Member
believes support the contention.
Submission
of such a request constitutes on the part of the
Faculty Member: (1) a representation that he or
she can prove the contention, and (2) an agreement
that the University may offer in rebuttal of the
contention any relevant data within its possession.
9.2.6
Jurisdiction of the Hearing Committee
If
the Faculty Member makes a timely written request
for a reconsideration of the decision, the Chancellor
or Chancellor's delegate shall ensure that a reconsideration
hearing is accorded before the Hearing Committee
established as provided in Section
7.2, or a panel of that Committee. This reconsideration
is limited solely to a determination of the contentions
made in the Faculty Member's request for reconsideration.
The reconsideration hearing shall be held promptly,
but the Committee shall accord the Faculty Member
seven days from the time it receives the written
request for a hearing to prepare for it.
9.2.7
Conduct and Rules of Hearing; Procedure After
Hearing
The
Hearing Committee is authorized to establish rules
and procedures for conducting reconsideration hearings
and for treatment of cases after hearings consistent
with this document and approved by the Chancellor.
Such procedures shall provide that if the decision
of the Chancellor after considering the report and
recommendation of the Hearing Committee or its panel
is unfavorable to the Faculty Member, the Faculty
Member may appeal that decision to the Board of
Trustees, which shall make the final decision.
9.3
Assistance for Faculty Members and Rights to New
Positions
9.3.1
Assistance After Termination of Employment
The
University, when requested in writing by a Faculty
Member whose employment has been terminated, shall
provide reasonable assistance in finding other employment.
9.3.2
First Right of Refusal of New Positions
For
two years after the effective date of termination
of a Faculty Member's employment for any of the
reasons specified in Section 9.1,
The University of North Carolina at Charlotte
shall not replace the Faculty Member without first
offering the position to the person whose employment
was terminated. The offer shall be made by Formal
Notice to the address last furnished by the Faculty
Member; the Faculty Member will be given thirty
days after receipt of the notice to accept or
reject the offer.
10.1
Interpretation and Conflict with Other Policies
The
Provost and Vice Chancellor for Academic Affairs
("the Provost") makes the authoritative
interpretations of the Tenure Policies, Regulations,
and Procedures of The University of North Carolina
at Charlotte. In interpreting this document, the
Provost will consult with the Faculty Executive
Committee and University administrators familiar
with the documents and the practices at The University
of North Carolina at Charlotte. Objections to these
interpretations can be appealed to the Chancellor.
Such objections will not suspend requirements for
Faculty Members or administrators to comply with
time limits related to personnel action unless those
time limits are extended in writing by the Chancellor.
This
document is in conformity with Chapter
VI of The Code and Policies of the Board
of Governors of The University of North Carolina.
If any part of this document is found to conflict
with Chapter
VI of The Code or the Policies of the
Board of Governors, The Code and Policies
shall prevail.
These
Tenure Policies, Regulations, and Procedures of
The University of North Carolina at Charlotte shall
be effective on October 5, 2009, as adopted by the
Board of Trustees of the University of North Carolina
at Charlotte and approved by the President of the
University of North Carolina.
10.2.2
Effect on Certain Appointments
A
Faculty Member who was appointed to a Professorial
Rank before the implementation of these policies
and regulations and who does not meet the qualifications
described in Section 3.2 shall
retain the most recently conferred title for the
duration of the current appointment.
The
University of North Carolina at Charlotte Office
of Legal Affairs shall review this document during
the spring semester of each even-numbered year and
shall recommend for approval by the Board of Trustees
amendments necessary to respond to changes in law
that affect this document. At intervals of not more
than five years, the Chancellor shall review this
document and shall report to the President of the
University of North Carolina whether or not amendments
or revisions are appropriate. The Chancellor shall
involve the Faculty in this review.
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