UNCW Faculty Handbook: Faculty governance: Policies of Academic Freedom & Tenure

Policies of Academic Freedom and Tenure

The University of North Carolina at Wilmington

Approved by the Board of Governors of The University of North Carolina - May 14, 1976, effective June 11, 1976; revisions approved July 20, 1979, effective July 20, 1979; revisions approved May 10, 1982, effective July 1, 1982; revisions approved November 11, 1994, effective December 9, 1995; revisions approved January 2001, effective July 1, 2001; revisions approved August 2007, effective August 2007.

This document sets forth the official policy of The University of North Carolina at Wilmington regarding academic freedom, rights, and responsibilities, promotion, and tenure of its faculty. Fundamental in this policy are the concepts of academic freedom, rights, and responsibilities as stated in Chapter VI of the Code of The University of North Carolina. Equally fundamental is an explicit policy of promotion and tenure.

Freedom and responsibility in the university community
Academic freedom and responsibility of faculty
Academic tenure
Policies on appointment, promotion, and tenure
Mediation of Faculty Grievances
Nonreappointment hearings procedure
Faculty committee to hear grievances
Policies regarding cessation of university employment
Termination of faculty employment
Retirement
Policy on leave
Implementation

Section I. Freedom and Responsibility in the University Community

The University of North Carolina at Wilmington is dedicated to the transmission and advancement of knowledge and understanding. Academic Freedom is essential to the achievement of these purposes. This institution therefore supports and encourages freedom of inquiry for faculty members and students, to the end that they may responsibly pursue these goals through teaching, learning, research, discussion, and publication, free from internal or external restraints that would unreasonably restrict their academic endeavors.
The University of North Carolina at Wilmington shall protect faculty and students in their responsible exercise of the freedom to teach, to learn, and otherwise to seek and speak the truth.
Faculty and students of this institution shall 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.

Section II. Academic Freedom and Responsibility of Faculty

It is the policy of The University of North Carolina at Wilmington to support and encourage full freedom, within the law, of inquiry, discourse, teaching, research, and publication for all members of the academic staff of this institution. Members of the faculty are expected to recognize that accuracy, forthrightness, and dignity befit their association with this institution and their position as men and women of learning. They should not represent themselves, without authorization, as spokespersons for The University of North Carolina at Wilmington.
The University of North Carolina at Wilmington will neither penalize nor discipline members of the faculty because of the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and professional interest and responsibility.

Section III. Academic Tenure

The University of North Carolina at Wilmington is responsible for maintaining high standards of teaching and creative scholarly activities; therefore, it is essential that its faculty be composed of individuals with superior professional qualifications. The educational and scholarly quality of the institution depends primarily on its faculty. Therefore, a sound policy for defining, recognizing, and impartially rewarding excellence is necessary in furthering the purposes of the institution.
Academic tenure as a means to these ends is fundamental. Not only does it guarantee the freedoms espoused in Sections I and II, but it also provides a degree of economic security to make the institution attractive to persons of high ability. A sound policy of academic tenure is indispensable to the success of the institution in fulfilling its obligations to its students and to society.
The tenure policies and regulations herein contained set forth the considerations upon which appointment, reappointment, promotion, and permanent tenure are to be recommended. These considerations shall include an assessment of at least the following: the faculty member's demonstrated professional competence, continued academic and professional growth, potential for future contribution, teaching effectiveness, and the institution's needs and resources.
Permanent tenure may be conferred only 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.
In all instances, the tenure conferred on a faculty member is held with reference to employment by The University of North Carolina at Wilmington rather than The University of North Carolina.

Section IV. Policies on Appointment, Promotion, and Tenure

Eligibility for permanent tenure
Probationary service
Procedures for evaluation and documentation
Continuing evaluation of faculty

Eligibility for Permanent Tenure
All faculty and staff members who hold the rank of assistant professor, associate professor, or professor shall be eligible for permanent tenure. Nevertheless, Section 602(7) of The Code of The University of North Carolina applies.
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 a faculty member's 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 contract in either of the following situations:

In a promotion to a higher rank if, before the effective date of that promotion, the faculty member had permanent tenure and no such condition was attached to the permanent tenure.
If the faculty member held tenure in the institution on 1 July 1975 and his/her contract was not then contingent upon the continuing availability of sources other than continuing state budget or permanent trust funds.

Probationary Service
1. Definition and Length of Probationary Service
       Probationary service is that period of employment from the commencement of a faculty member's initial contract with The University of North Carolina at Wilmington to the time that he/she is notified of either reappointment with permanent tenure or nonreappointment. However, years served in a special faculty appointment (Section 604C of the Code) shall not be counted as years of probationary service. Moreover, leaves of absence shall not count as probationary service.
       Except for full professors (Section IV.B.2.d), no one may be granted permanent tenure who has not completed at least two (2) years of probationary service.
       In all cases, the maximum number of years of probationary service shall be nine (9). This provision takes precedence over all subsequent references to the contract years in which decisions regarding permanent tenure shall be made.^[1]
2. Length and Number of Appointments in the Probationary Period
  With respect to the various academic ranks, the tenure policy of the university is as follows:
  1. An assistant professor shall be appointed to an initial term of four years. Before the end of the third year of this appointment, the department chairperson^[2] or school dean, shall recommend that the assistant professor be either reappointed for a second term of three years or not reappointed. Before the end of the second year of the second three-year appointment, the department chairperson or school dean shall, in the same manner, recommend that the assistant professor be either reappointed with permanent tenure and promoted to associate professor, or not reappointed.
  2. An associate professor promoted to that rank from within this institution shall have permanent tenure. One coming to that rank from outside the institution shall be appointed to an initial term of five years; and in such cases, before the end of the fourth year, his/her department chairperson or school dean, after reviewing the evidence provided by the evaluation process and consulting with all assembled senior departmental or school members based on rank, shall recommend that the associate professor be either reappointed with permanent tenure at the same or higher rank, or not reappointed.
  3. A professor shall have permanent tenure.
  4. Paragraphs (a), (b), and (c) shall not apply to a visiting faculty member; a faculty member, regardless of stated rank, who is employed for a limited period in the staffing of any special project; or any special faculty appointee as defined by Section 604 C of the Code. The Chancellor shall call to the attention of the appointee that, because of the visiting or special status of the appointment, the provisions of paragraphs (a), (b), (c), and (d) do not apply to his/her appointment.
  5. Non-teaching professional personnel who hold professorial rank shall be eligible for promotion and permanent tenure and shall be subject to standards equivalent in rigor to those standards that apply to the teaching faculty.
  6. If the department chairperson is being considered for promotion and/or permanent tenure, the appropriate dean shall evaluate his/her performance after consulting with and taking an advisory vote of the assembled senior members of the department. A recommendation, with written justification, is transmitted by the dean to Academic Affairs, and by Academic Affairs to the university-wide faculty Committee on Reappointment, Tenure, and Promotion (CRTP). The CRTP forwards its recommendation directly to the Provost and Vice Chancellor for Academic Affairs.
  7. A faculty member may be promoted at any time.
  8. The terms and conditions of each faculty appointment shall be written. A copy of the terms, signed by the Chancellor, shall be delivered to the faculty member, and a copy shall be retained by the Chancellor. Full information on the tenure policy of the university and on a faculty member's employment status shall be readily available to the faculty member.
3. Timely Notice
  For full-time faculty at the rank of assistant professor, and associate professor without permanent tenure, the minimum requirement for timely notice of reappointment or nonreappointment shall be as follows:
  1. During the first year of service at the institution, the faculty member shall be given not less than 90 calendar days notice before his/her employment contract expires;
  2. During the second year of continuous service at the institution, the faculty member shall be given not less than 180 calendar days notice before his/her employment expires; and
  3. After two or more years of continuous service at the institution, the faculty member shall be given not less than twelve months' notice before his/her employment contract expires.
4. Notice of Nonreappointment
  1. The decision not to reappoint a faculty member when a probationary term expires shall be made by the appropriate dean^[3] after receiving the recommendations provided above and in Section IV.C. The dean's decision not to reappoint, if it accords with negative recommendations by both the department's chairperson and the majority vote of the department's senior faculty, is final except as it may be later appealed in accordance with the provisions of Section V. The dean shall notify the faculty member of the decision by a simple, unelaborated written statement that the faculty member will not be reappointed. Each decision not to reappoint shall be communicated for information through the administrative channels prescribed for review had the decision been to reappoint.
  2. Notice of nonreappointment shall be written. Failure to give timely notice of nonreappointment, whether the reappointment decision was timely made or made after it should have been made as required by Section IV.B.1 and IV.B.3, will oblige the Chancellor thereafter to offer a terminal appointment of one academic year.
Procedures for Evaluation and Documentation
1. The gathering of information for an evaluation for reappointment, promotion, or tenure shall be the responsibility of the department chairperson or appropriate dean. If the department chairperson is being considered for promotion, the appropriate dean shall be responsible for evaluating his/her performance after consulting with and taking an advisory vote of the assembled senior members of the department.
2. A Faculty Committee on Reappointment, Tenure, and Promotion to be composed of eight permanently tenured faculty members shall be elected by the faculty to review requests for reappointment, tenure, and promotion. The committee members shall be elected for three-year terms, which terms shall be staggered. The committee shall be composed of two members from each of the four divisions designated in the "Official Senate Election Procedures for Autonomous Faculty Committees." The committee will elect its own chairperson. A quorum is a simple majority of the total committee membership. If a member of the RTP Committee is a candidate for review by that committee or has a spouse who is under review by that committee, he or she shall be replaced on the committee by a substitute during that semester. The Senate Steering Committee shall name a substitute.
3. It shall be the responsibility of the dean of the College of Arts and Sciences and the deans of the professional schools to review the departmental recommendations for reappointment, promotion, and tenure following the evaluation process as required by Section IV.B.2. The deans forward their recommendations to Academic Affairs.
4. The Provost and Vice Chancellor for Academic Affairs shall convene the Faculty Committee on Reappointment, Tenure, and Promotion for the purpose of organization and shall present the submitted recommendations for reappointment, promotion, and tenure. The Faculty Committee on Reappointment, Tenure, and Promotion may seek additional information from appropriate sources for the purpose of clarification. All such requests for information shall come through the chairperson of the Faculty Committee on Reappointment, Tenure and Promotion. Such requests, with justification, and any responses shall be written, and the chairperson of the Faculty Committee on Reappointment, Tenure, and Promotion will ensure that any such correspondence and/or other documentation is inserted into the candidate's dossier before it is forward to the Provost and VCAA.
5. The chairperson of the Faculty Committee on Reappointment, Tenure, and Promotion shall submit the committee's recommendations to the Provost and Vice Chancellor for Academic Affairs.
6. If the Provost and Vice Chancellor for Academic Affairs recommends reappointment, tenure, and/or promotion of a faculty member, he/she shall forward the recommendation to the Chancellor. If the Provost and Vice Chancellor for Academic Affairs decides that the faculty member should not be reappointed when a probationary term expires, that decision must be reported to the Chancellor and Board of Trustees and is final except as it later may be appealed in accordance with the provisions of Section V and 604 D. If he/she recommends that promotion or tenure not be given, he/she shall forward the recommendation to the Chancellor.
7. If the Chancellor receives a negative decision on reappointment from the Provost and VCAA he/she shall report this decision to the Board of Trustees at the same time that positive recommendations for reappointment are forwarded to it.
       If the Chancellor concurs in a recommendation not to grant permanent tenure, he/she shall send the faculty member being considered written notification of the decision, place a copy in the dossier, and report this decision to the Board of Trustees at the same time that positive recommendations for tenure are forwarded to it. The decision not to tenure is final except as it may later be appealed in accordance with provisions of Section V and 604 D of the Code.
        If the Chancellor concurs in a recommendation for tenure he/she shall send the faculty member being considered written notification of the decision, place a copy in the dossier, and forward the recommendation to the Board of Trustees for final approval.
        If the Chancellor does not concur in a recommendation not to grant tenure he/she shall send the faculty member being considered written notification of the decision, place an elaborated written statement of the decision in the dossier, and forward the recommendation to the Board of Trustees for final approval.
        If the Chancellor does not concur in a recommendation to grant tenure he/she shall send the faculty member being considered written notification of the decision, place an elaborated written statement of the decision in the dossier, and report the decision to the Board of Trustees for final approval. The decision not to tenure is final except as it later may be appealed in accordance with the provisions of Section V and 604 D of the Code.
        If the Chancellor concurs in a recommendation not to promote from associate professor to professor he/she shall send the faculty member being considered written notification of the decision, place a copy in the dossier, and report this decision to the Board of Trustees at the same time that positive recommendations for promotion are forwarded to it.
        If the Chancellor concurs in a recommendation to promote from associate professor to professor he/she shall send the faculty member being considered written notification of the decision, place a copy in the dossier, and forward this recommendation to the Board of Trustees for final approval.
        If the Chancellor does not concur in a recommendation not to promote from associate professor to professor he/she shall send the faculty member being considered written notification of the decision, place an elaborated written statement of the decision in the dossier, and forward the recommendation to the Board of Trustees for final approval.
        If the Chancellor does not concur in a recommendation to promote from associate professor to professor he/she shall send the faculty member being considered written notification of the decision, place an elaborated written statement of the decision in the dossier, and forward the recommendation to the Board of Trustees for final approval.
Continuing Evaluation of Faculty
1. In the interest of fostering continued professional growth for all faculty members, a full evaluation shall be completed at least once every four years for each faculty member with permanent tenure. It is the responsibility of the department chairperson or school dean to initiate and conduct the evaluation process for all members of the department or school with permanent tenure as they come under this requirement. Appropriate recommendations resulting from this evaluation shall be formulated by the department chairperson or school dean.
2. An evaluation of a faculty member with permanent tenure may be done in any year at his/her request.
3. An evaluation of a department chairperson shall be the responsibility of the appropriate dean who shall consult with the full membership of the relevant department.
4. When circumstances warrant, an evaluation may be initiated by the department chairperson, the appropriate dean, the Provost and Vice Chancellor for Academic Affairs, or the Chancellor.
5. Copies of the evaluation and recommendations shall be given to the faculty member being evaluated, with copies forwarded to the Provost and Vice Chancellor for Academic Affairs (and the appropriate dean when evaluations are prepared by departmental chairpersons).

V. Mediation of Faculty Grievances

The university encourages faculty to resolve grievances in an amicable fashion whenever possible. As a result, the university provides faculty the opportunity to participate in mediation conducted by trained mediators. In order to learn more about the mediation services and to access those services, a faculty member should contact the Director of Human Resources or his/her designee. Upon the filing of a grievance, the chair of the Faculty Professional Relations Committee, or in the case of a request to review a nonreappointment decision, the chair of the Faculty Hearings Panel shall determine whether the faculty member has considered mediation as an alternative dispute-resolution process and provide information about this process for the faculty member to consider. Entering into mediation will suspend the time limitations for the filing and/or the formal resolution of the grievance or a hearing for the duration of a mediation being conducted.

The university shall pay for the mediation services, without charge to the faculty member, the department, or any individual administrator who is a party to the mediation. Mediation is voluntary, and both parties must agree to participate in order for mediation to proceed. The decision not to participate in mediation by either party will not be held against that party in any way, and no blame will attach to either party if mediation does not produce a settlement. At any time during the process, any party may withdraw and the mediation will end. If at any time during the process it becomes evident to the mediator that the parties cannot reach an agreement, the mediator may discontinue the process.

The mediation is confidential to the extent allowed by law. If both parties agree, the parties may each have an advisor present. If mediation is successful and results in an outcome acceptable to both parties, neither party may pursue a pending grievance or a hearing or at a later date file a grievance or request for a hearing on the matters addressed in the mediation. A successful mediation may result in a written agreement signed by both parties. Any mediation which results in an agreement that obligates the university must be signed by a university official with the authority to bind the university concerning the particular agreement. No record of a failed mediation will be produced by the mediator other than a statement written to either the chair of the Faculty Professional Relations Committee or the chair of the Faculty Hearings Panel, as appropriate, that mediation was attempted but settlement was not reached. Within five days after an unsuccessful mediation, the faculty member has the responsibility to notify the pertinent chair that he or she desires to pursue the grievance. The grievance will then be reviewed by either the Faculty Professional Relations Committee or the Faculty Hearings Panel as appropriate and in accordance with the relevant policy. The parties must agree that the mediator will not be called as a witness in any subsequent proceeding and that anything done or said by either party during a mediation process may not be used against a party in any subsequent proceeding.

Section VI. Nonreappointment Hearings Procedure

Permissible and impermissible grounds for nonreappointment
Conference with dean
Conference with the Provost and Vice Chancellor for Academic Affairs
Request for review by Hearing Committee; scope of review
Conduct of hearing
Hearing procedure
Procedure after hearing

Permissible and Impermissible Grounds for Nonreappointment
The decision whether to reappoint a faculty member when a probationary term appointment^[4] expires may be based on any factor considered relevant to the total institutional interests, but it must consider the faculty member's demonstrated professional competence, potential for future contributions, and the institution's needs and resources. These considerations may form, in whole or in part, the basis of the ultimate decision, except that a decision not to reappoint may not be based upon (1) the faculty member's exercise of rights guaranteed by either the First Amendment to the United States Constitution or Article I of the North Carolina Constitution; (2) discrimination based upon the faculty member's race, sex, religion, or national origin; (3) personal malice; or (4) material procedural irregularities.
Conference with Dean
     Within five days after receiving a written notice of nonreappointment, a faculty member may in writing request a private conference with the appropriate dean to discuss the reasons for nonreappointment.^[5] The faculty member's request shall be granted and the conference held forthwith, within five days after receipt of the request if possible.^[6]
      Within five days after the conference, the dean shall give the faculty member a simple, unelaborated, written statement of whether the original decision remains in effect.
Conference with the Provost and Vice Chancellor for Academic Affairs
     Within five days after receiving notice that the original decision remains in effect, the faculty member may in writing request a conference with the Provost and Vice Chancellor for Academic Affairs. This request shall be granted and the conference held forthwith, within five days after receipt of the request if possible.
      Within ten days after the conference, the Provost and Vice Chancellor for Academic Affairs shall send a written evaluation of the matter to the faculty member and to the appropriate dean. The evaluation may be in the form of an unelaborated concurrence with the decision; an expression of disagreement with the decision, with or without supporting reasons; or a recommendation for reconsidering the decision, with or without suggestions for specific procedures in doing so. Whatever form the evaluation may take, it is merely recommendatory and not binding upon the dean or final as to the faculty member.
      Within five days after receiving an evaluation that disagrees with the decision or recommends its reconsideration, the dean shall give the faculty member and his/her immediate supervisor a response in writing.
Request for Review by Hearing Committee; Scope of Review
     Within five days after the faculty member receives notice of an unfavorable action resulting from the conference with the Provost and Vice Chancellor for Academic Affairs, he/she may request that the Faculty Hearings Panel review the decision^[7]. This review is limited solely to determining whether the decision not to reappoint was based upon any of the grounds stated to be impermissible in Section VI.A.
      The request for review shall be written and addressed to the chairperson of the Hearings Panel. It shall specify the grounds upon which the faculty member contends that the decision was impermissibly based, with a short, plain statement of facts that the faculty member believes supports the contention.
      Such a request constitutes on a faculty member's part: (1) a representation that he/she can prove the contention, and (2) an agreement that the institution may offer in rebuttal of the contention any relevant data within its possession.
      The Hearings Committee (selected from the Hearings Panel) shall consider the request and grant a hearing if it determines that (a) the request contains a contention that the decision was impermissibly based under this section, and (b) the facts suggested, if established, will support the contention. A denial of the request finally confirms the decision. If the request is granted, a hearing shall be held within ten days after the request is received; the faculty member shall be given at least five days' notice of the hearing.
Conduct of Hearing
The hearing shall be conducted informally and in private with only the members of the Hearings Committee, the faculty member, the appropriate dean, and such witnesses as may be called in attendance, except that the faculty member and the dean may each be accompanied by a person of his/her choice. A quorum for the hearing is a simple majority of the total committee membership. Committee members who hold an appointment in the faculty member's department or school, who will testify as witnesses, or who have any other conflict of interest are disqualified from participating in the hearing. If the faculty member requests it and the chairperson of the Hearings Committee approves, a transcript of the proceedings shall be provided to the faculty member. The committee may consider only such evidence as is presented at the hearing and need consider only the evidence offered that it considers fair and reliable. All witnesses may be questioned by the committee members, the faculty member, the dean, and the representatives of the faculty member and dean. Except as herein provided, the conduct of the hearing is under the committee chairperson's control.
Hearing Procedure
     The hearing shall begin with the faculty member's presentation of contentions, which shall be limited to those grounds specified in the request for a hearing and supported by such proof as he/she desires to offer. When the faculty member has concluded this presentation, the Hearings Committee shall recess to consider whether he/she has established a prima faciecase. If it determines that the contention has not been so established, it shall notify the parties to the hearing of its conclusion and thereupon terminate the proceedings. Such termination confirms the decision not to reappoint. If it determines that rebuttal or explanation is desirable, it shall so notify the parties and the hearing shall proceed. The dean may then present in rebuttal of the faculty member's contentions, or in general support of the decision not to renew, such testimonial or documentary proofs as he/she desires to offer, including his/her own testimony.
      At the end of this presentation, the Hearings Committee shall consider the matter in executive session. The burden shall be upon the aggrieved faculty member to satisfy the committee that his/her contention is true.
Procedure after Hearing
     If the Hearings Committee determines that the faculty member's contention has not been established, it shall, by a simple unelaborated statement, so notify the faculty member, the appropriate dean, and the Provost and Vice Chancellor for Academic Affairs. Such a determination confirms the decision not to reappoint. If the Hearings Committee determines that the faculty member's contention has been satisfactorily established, it shall so notify the faculty member, the appropriate dean, and the Provost and Vice Chancellor for Academic Affairs by a written notice that shall also include a recommendation for corrective action by the dean.
      Within five days after receiving such a recommendation, the dean shall notify the faculty member, the Provost and Vice Chancellor for Academic Affairs, and the chairperson of the Hearings Committee what modification, if any, he/she will make with respect to the original decision not to reappoint.
      If the dean fails to make a recommended modification in the original decision, the Hearings Committee shall submit a report to the Chancellor containing the committee's findings and recommendation and what it considers to be appropriate action by the Chancellor to resolve the matter.

Section VII. Faculty Committee to Hear Grievances

The Faculty Professional Relations Committee shall serve as the grievance committee provided for in Section 607 of the Code. This committee shall be elected by the faculty with members elected from each professorial rank as provided in the Bylaws of the Faculty Senate. No officer of administration shall serve on the committee. For purposes of this section, officer of administration shall be deemed to include department chairpersons.
The committee shall be authorized to hear, mediate, and advise with respect to the adjustment of grievances of members of the faculty. The power of the committee shall be solely to hear representations by the persons directly involved in a grievance, to mediate voluntary adjustment by the parties, and to advise adjustment by the administration when appropriate. Advice for adjustment in favor of an aggrieved faculty member may be given to the Chancellor only after the Provost and Vice Chancellor for Academic Affairs, the appropriate dean, department chairperson, or other administrative official most directly empowered to adjust it has been given similar advice and has not acted upon it within a reasonable time.
"Grievances" within the province of the committee's power shall include matters directly related to a faculty member's employment status and institutional relationships within the constituent institution. However, no grievance that grows out of or involves matters related to a formal proceeding for the suspension, discharge, or termination of a faculty member, or that is within the jurisdiction of another standing faculty committee, may be considered by the committee.
If any faculty member feels that he/she has a grievance, he/she may petition the Faculty Professional Relations Committee for redress. The petition shall be written and shall set forth in detail the nature of the grievance and against whom the grievance is directed. The petition shall contain any information that the petitioner considers pertinent to his/her case. The committee shall decide whether the facts merit a detailed investigation so that submission of a petition shall not result automatically in an investigation or detailed consideration of the petition.

Section VIII. Policies Regarding Cessation of University Employment

Suspension and Discharge
1. The permissible grounds for the discharge or suspension of either a faculty member with permanent tenure or a faculty member without permanent tenure before a fixed term expires are incompetence, neglect of duty, and misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty.
2. The policy for due process before discharge or the imposition of serious sanctions, i.e., diminishment in rank, is identical to the procedure described in Section 603 of the Code.
Resignation
A faculty member who decides to resign shall, as soon as possible, notify the appropriate dean of the decision in writing. The dean shall notify the Provost and Vice Chancellor for Academic Affairs, who shall then forward the notice to the Chancellor.
Disability
Retirement for reason of disability shall be in accordance with North Carolina statutes and regulations governing retirement for faculty who are members of the state retirement system. A faculty member who is not a member of the state retirement system and who is mentally or physically disabled but refuses to retire may be discharged because of that disability only in accordance with the procedures of Section 603 of the Code.

Section IX . Termination of Faculty Employment

Reasons justifying termination and consultation required
1. Reasons for terminating employment
2. Consultation with faculty and administrative officers
Termination procedure
Assistance for faculty members and rights to new positions
1. Institutional assistance to employees who are terminated
2. First right of refusal of new positions

Reasons Justifying Termination and Consultation Required

Reasons for Terminating Employment
The employment of a faculty member with permanent tenure or of a faculty member appointed to a fixed term may be terminated by The University of North Carolina at Wilmington because of (1) demonstrable, bona fide institutional financial exigency or (2) major curtailment or elimination of a teaching, research, or public service program. Financial exigency is defined as a significant decline in the financial resources of the institution that is brought about by a decline in instructional 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 of 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 605 of the Code. This determination is subject to the concurrence of the President and the approval of the Board of Governors. If the financial exigency or curtailment or elimination of a program is such that the institution's contractual obligation to a faculty member cannot be met, the faculty member's employment may be terminated in accordance with the institutional procedures set out in Section IX.B below.
Consultation with Faculty and Administrative Officers
When it appears that the institution will experience an institutional financial exigency or when it is considering a major curtailment in or elimination of a teaching, research, or public service program, the Chancellor or his/her 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.

Termination Procedure
1. Considerations in Determining Whose Employment Is to Be Terminated
  In determining which faculty member's employment is to be terminated for the reasons set forth in Section IX.A.1, consideration shall be given to tenure status, to years of service to the institution, 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 institution.
2. Timely Notice of Termination
  1. When a faculty member's employment is to be terminated because of a major curtailment or elimination of a teaching, research, or public service program that is not founded upon financial exigency, he shall be given timely notice as follows: (1) one who has permanent tenure shall be given not less than twelve months' notice; and (2) one 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 IV.B.3.
  2. When a faculty member's employment is to be terminated because of financial exigency, the institution 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 Section IX.B.2.a [immediately above].
3. Type of Notice to Be Given
  The Chancellor or his/her delegate shall send the faculty member whose employment is to be terminated a written statement of this fact by registered mail, return receipt requested. This notice shall include a statement of the conditions requiring termination of the faculty member's employment; a general description of the procedures followed in making the decision; a disclosure of pertinent financial data upon which the decision was based; a statement of the faculty member's right, upon request, to a reconsideration of the decision by a faculty committee if he/she alleges that the decision to terminate him/her rather than another faculty member was arbitrary or capricious; and a copy of this procedure on termination of employment.
4. Termination If Reconsideration Not Requested
  If, within ten days after he/she receives the notice required by Section IX.B.3, the faculty member makes no written request for a reconsideration hearing, his/her employment shall be terminated at the date specified in the notice given pursuant to Section IX.B.3 without recource to any institutional grievance or appellate procedure.
5. Request for Reconsideration Hearing
        Within ten days after receiving the notice required by Section IX.B.3, the faculty member may request by registered mail, return receipt requested, a reconsideration of the decision to terminate his/her employment if he/she alleges that the decision was arbitrary or capricious. The request shall be submitted to the Chancellor and shall specify the grounds upon which the faculty member contends that the decision to terminate his/her employment was arbitrary or capricious and shall include a short, plain statement of facts that he/she believes support the contention.
       Submission of such a request shall constitute on the faculty member's part: (1) a representation that he/she can prove the contention, and (2) an agreement that the institution may offer in rebuttal of the contention whatever relevant data it may have.
6. Jurisdiction of Hearings Committee in Reconsidering Termination
  If the faculty member makes a timely written request for a reconsideration of the decision, the Chancellor or his/her delegate shall insure that the hearing is accorded before the Faculty Hearings Committee (a subset of the Faculty Hearings Panel). The committee's jurisdiction is solely to consider whether the selection of the faculty member for termination, vis-a-vis other faculty members, was arbitrary or capricious. The committee's jurisdiction does not extend to a reconsideration of whether a financial exigency exists or a program should be curtailed or eliminated. This reconsideration hearing shall be held promptly, but the committee shall accord the faculty member five days from the time it receives his written request for a hearing to prepare for it.
7. Conduct of Hearing
        The hearing shall be conducted informally and shall be closed to the public. The faculty member and the Chancellor have the right to legal counsel, to present the testimony of witnesses and other evidence, to confront and cross-examine adverse witnesses, and to examine all documents and other adverse demonstrative evidence. The faculty member and the committee shall be given access, upon request, to documents of The University of North Carolina at Wilmington that were used in making the decision to terminate the faculty member after the decision was made that some faculty member's employment must be terminated. Upon request, a transcript of the proceedings shall be provided the faculty member at the institution's expense. The committee may consider only such evidence that it considers fair and reliable. All witnesses may be questioned by the committee members. Except as herein provided, the conduct of the hearing shall be under the committee chairperson's control.
       For purposes of the hearing, a quorum is a simple majority of the total membership. No member of the committee who holds an appointment in the faculty member's department or school, participated directly in the decision to terminate this individual faculty member, or has any other substantial conflict of interest shall hear this case.
8. Hearing Procedure
       The hearing shall begin with the faculty member's presentation of contentions, limited to those grounds specified in the request for hearing and supported by such proof as he/she desires to offer. The Chancellor or his/her representative may then present in rebuttal of the faculty member's contentions, or in general support of the decision to terminate his/her employment, such testimonial or documentary proofs as he/she desires to offer, including his/her own testimony.
       At the end of this presentation, the committee shall consider the matter in executive session and shall make its written recommendations to the Chancellor within ten days after its hearing concludes. The burden shall be on the faculty member to satisfy the committee that his/her contention is true.
9. Procedure after Hearing
       If the committee determines that the faculty member's contention has not been established, it shall, by a simple unelaborated statement, so notify him/her and the Chancellor. The faculty member may then appeal the decision to terminate his/her employment in the manner provided by Section 501 C(4) of the Code [As of July 1, 2003 Section 501C(4) shall be deleted in its entirety].
       If the committee determines that the faculty member's contention has been satisfactorily established, it shall so notify him/her, and the Chancellor in writing. The notice to the Chancellor shall also include a recommendation for corrective action by the Chancellor.
       Within ten days after receiving the recommendation, the Chancellor shall send written notice to the faculty member and the chairperson of the committee what modification, if any, he/she will make with respect to the original decision to terminate the faculty member's employment. If the Chancellor fails to reverse the original decision, the faculty member may appeal the termination in the manner provided by Section 501 C(4) of the Code [As of July 1, 2003 Section 501C(4) shall be deleted in its entirety] and the Joint Report of the Committees on Personnel and Tenure and University Governance Concerning Appellate Review under Section 501c(4) of the University Code. If the Chancellor concurs in a recommendation of the committee that is favorable to the faculty member, his/her decision is final.
Assistance for Faculty Members and Rights to New Positions
1. Institutional Assistance to Employees Who Are Terminated
  The institution, when requested in writing by an employee whose employment has been terminated, shall give him/her reasonable assistance in finding other employment.
2. First Right of Refusal of New Positions
  For two years after the effective date of termination of a faculty member's contract for any reason specified in Section IX.A, the institution shall not replace the faculty member without first offering the position to the person whose employment was terminated. The offer shall be made by registered mail, return receipt requested, to the faculty member's last known address, and he/she shall be given thirty calendar days after he/she receives the notice to accept the offer.

Section X. Retirement

(This document is currently under review by the Faculty Senate. Some parts of this section are no longer applicable).

Retirement Policy for Members of the Faculty
Each member of the faculty who has permanent tenure shall automatically be retired, without notice, on July 1 coincident with or next following his or her seventieth birthday except as herein provided.
Reappointment Beyond Normal Retirement Date
A faculty member may be continued in employment past the retirement date specified in Section X.A [immediately above] only when exceptional circumstances are such that the institution would suffer adverse effects if that person's service were not continued. Continuation in employment may be authorized only by a term appointment, each term not to exceed one year in duration. Any continuation in employment must be upon recommendation of the Chancellor and approval of the Board of Trustees, and in accordance with the following procedure.
1. Each proposed appointment to continue employment beyond the retirement date specified in Section X.A shall be initiated by recommendation of the chairperson or dean of the department or school concerned after consultation with the faculty member. The recommendation shall present evidence that the faculty member can continue to perform at a high level, and it shall set forth in detail the exceptional circumstances that justify the recommendation.
2. The chairperson's or appropriate dean's recommendation for continuation shall be reviewed through the administrative channels prescribed for reviewing recommendations for other fixed-term faculty appointments, and must receive approval of the Board of Trustees.
3. Not later than twelve months before the retirement date specified in Section X.A and not later than six months after any subsequent term of employment, the faculty member shall be given written notice either by his/her chairperson or school dean that his/her continuation is not to be affected or by the Chancellor that his/her continuation has been approved. Failure to give notice as herein required is not a basis for continuing employment.
4. If the faculty member's department chairperson or school dean determines that the continuation of employment should not be effected, he/she shall so notify the faculty member in writing. A copy of the notice given to the faculty member shall be sent to the chairperson's or school dean's immediate supervisor.
5. The faculty member may request a review of the chairperson's or school dean's determination by the chairperson's or school dean's immediate supervisor. This request must be written and may set forth any exceptional circumstances relating to adverse effects upon the institution that the faculty member expects will result if he/she is not continued. The supervisor's concurrence with the chairperson's or school dean's decision affirms the decision. If the supervisor thinks the matter should be reviewed, he/she shall so notify the faculty member's chairperson or school dean, who shall thereupon put the matter forward into the regular administrative review channels. Concurrence with the chairperson's or school dean's determination at any level of administrative review is a final determination, and review thereupon terminates at that level. If there is disagreement with the chairperson's or school dean's decision at any level of review below the Chancellor, the question of reappointment shall immediately be referred to the Chancellor for recommendation to the Board of Trustees.

Section XI. Policy on Leave

The University of North Carolina does not have a sabbatical leave program. From time to time leaves of absence for faculty members are granted for valid professional or personal reasons. Leaves of absence without pay are negotiated, depending upon the individual's need and the best interest of the institution.

Section XII. Implementation

These policies and regulations supersede all other institutional documents governing the matters covered herein.
Except as otherwise provided below, all provisions of these policies and regulations shall become operative (with respect to all existing and all future faculty appointments) on the effective date, which shall be the date twenty-eight calendar days after the day on which these policies and regulations have been approved by the President and the Board of Governors of The University of North Carolina:
1. The provisions in Section IV.B.2.a prohibiting appointment of instructors after five years at that rank shall apply only with respect to persons who, upon the effective date, have not served at the rank of instructor for four years. The provisions of that sentence shall not apply to those who, upon the effective date, have served at the rank of instructor for four or more years. It shall neither require nonreappointment nor insure reappointment when their then-current or subsequent one-year terms expire, but shall leave this decision to be made as under the policies and regulations formerly applying.
2. All provisions hereof requiring a department chairperson or school dean to consult with the assembled senior members of the department or school, and the Provost and Vice Chancellor for Academic Affairs to consult with the assembled college review committee shall apply only with respect to personnel recommendations initiated after the effective date.
3. The provisions of Section VI shall apply with respect to both those who are given notice of nonreappointment within ninety calendar days before the effective date. Instructors, assistant professors, and associate professors to whom notice of nonreappointment has been given within ninety calendar days before the effective date shall have twenty calendar days after the effective date within which to initiate the procedures for review provided in Section VI.
  4. The provisions of Section X shall apply both to all persons who, upon the effective date, have attained normal retirement age and are in continued terms of employment, and to those persons who attain normal retirement age after the effective date.