Full Manual

Part I: Introduction

The ECU Faculty Manual is the product of many years of faculty participation in shared governance at East Carolina University. The contents of the Manual require the approval of the Faculty Senate and the Chancellor, and for some sections, the approval of the Board of Trustees, UNC General Administration, and UNC Board of Governors. The Faculty Senate, through its standing University Academic and Appellate Committees, continues to periodically review and develop academic and faculty welfare policies and procedures when necessary.

All faculty are provided an overview and online access to the ECU Faculty Manual contents upon initial employment at East Carolina University and receive timely notification of updates/revisions to the Manual throughout the academic year. The Faculty Senate office coordinates the online publication and maintenance of the Manual and can be contacted for any questions about its contents.

In 1964, President Leo Jenkins established the Faculty Senate “as an organized voice for the faculty of East Carolina University to enable faculty to play a broader role in the decisional mainstream of the institution.” He constituted a committee of administrators and faculty to develop the ECU Faculty Constitution, that read in part “The Faculty Senate shall ratify, amend, or remand all matters of academic policy or faculty welfare which have been recommended by any standing or special committee of East Carolina or initiate any policies in such matters which it deems desirable.”

In 1974, a decade after the establishment of the Faculty Senate, President Leo Jenkins remarked “The result had been a constructive relationship between faculty and administration which has, in only a few years, resulted in the most representative and responsible Faculty Senate in the entire university system.”

In 1998, in his last term as Chair of the Faculty, Professor Don Sexauer stated “Shared governance in an academic setting is a fragile balancing act that takes place between the administration of the university and its faculty. It is the attempt by the administration and the faculty to solve problems and implement policies in a manner that benefits all the constituencies of the university."

In 2009, Chancellor Steve Ballard charged the Faculty Senate, through the Chair of the Faculty, to conduct a complete review of the ECU Faculty Manual and revise the manual as necessary. During 2009-2012, major changes were made to the manual, including reorganization and deletion of outdated information. The ECU Faculty Manual has been redesigned to provide faculty members and administrators with policies and procedures in relation to faculty matters. The ECU Faculty Manual provides links to relevant UNC Board of Governors’ policies and procedures, as well as ECU Administrative Policies, Rules, and Regulations (PRRs).

Where ECU Faculty Manual policies are unclear or ambiguous, requests for interpretation of the manual are submitted to the Chair of the Faculty and/or Provost and Senior Vice Chancellor for Academic Affairs for a joint conditional interpretation. The Chair of the Faculty and Provost will also consult with the Vice Chancellor for Health Sciences and/or Vice Chancellor for Research and Graduate Studies, in matters pertaining to their purview. A conditional interpretation will be in effect until a permanent interpretation is adopted through normal procedures and incorporated into the contents of ECU Faculty Manual as needed. The Faculty Senate office maintains an index of interpretations provided for in the ECU Faculty Manual.

(FS Resolution #12-65, April 2012)

Part II, Section I: University Organization and Vision, Mission Statement, and Strategic Directions of ECU

Contents

1. The Organization of the University of North Carolina
2. Vision, Mission Statement, and Strategic Directions of East Carolina University

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I. The Organization of the University of North Carolina

In North Carolina, all the public educational institutions that grant baccalaureate degrees are part of The University of North Carolina. East Carolina University is one of seventeen constituent institutions of the multi-campus state university.

The University of North Carolina, chartered by the NC General Assembly in 1789, was the first public university in the United States to open its doors and the only one to graduate students in the eighteenth century. The first class was admitted in Chapel Hill in 1795. For the next 136 years, the only campus of The University of North Carolina was at Chapel Hill.

In 1877, the NC General Assembly began sponsoring additional institutions of higher education, diverse in origin and purpose. Five were historically black institutions, and another was founded to educate American Indians. Several were created to prepare teachers for the public schools. Others had a technological emphasis. One is a training school for performing artists.

In 1931, the NC General Assembly redefined The University of North Carolina to include three state-supported institutions: the campus at Chapel Hill (now the University of North Carolina at Chapel Hill), North Carolina State College (now North Carolina State University at Raleigh), and Woman's College (now the University of North Carolina at Greensboro). The new multi-campus University operated with one board of trustees and one president. By 1969, three additional campuses had joined the University through legislative action: the University of North Carolina at Charlotte, the University of North Carolina at Asheville, and the University of North Carolina at Wilmington.

In 1971, the General Assembly passed legislation bringing into The University of North Carolina the state's ten remaining public senior institutions, each of which had until then been legally separate: Appalachian State University, East Carolina University, Elizabeth City State University, Fayetteville State University, North Carolina Agricultural and Technical State University, North Carolina Central University, The North Carolina School of the Arts, Pembroke State University (now the University of North Carolina at Pembroke), Western Carolina University, and Winston-Salem State University. This action created the original sixteen-campus University. (In 1985, the North Carolina School of Science and Mathematics, a residential high school for gifted students, was declared an affiliated school of The University; in July 2007 NCSSM by legislative action became a constituent institution of the University of North Carolina, making it the seventeenth campus of the University of North Carolina.)

The University of North Carolina Board of Governors is the policy-making body legally charged with the general determination, control, supervision, management, and governance of all affairs of the constituent institutions. It elects the president, who administers The University. The thirty-two voting members of the board of governors are elected by the General Assembly for four-year terms. Former board chairs and board members who are former governors of North Carolina may continue to serve for limited periods as emeritus nonvoting members. The president of The UNC Association of Student Governments, or that student's designee, is also a nonvoting member.

Each of the seventeen constituent institutions is headed by a chancellor, who is chosen by the board of governors on the president's nomination and is responsible to the president. Each institution has a board of trustees, consisting of eight members elected by the board of governors, four appointed by the governor, and the president of the student body, who serves ex-officio. (The NC School of the Arts has two additional ex-officio members.) Each board of trustees holds extensive powers over academic and other operations of its institution on delegation from the board of governors.

• University of North Carolina General Administration
• Board of Governors for the University of North Carolina
• Constituent Institutions of the University of North Carolina

(FS Resolution #12-04, January 2012)

II. Vision, Mission Statement, and Strategic Directions of East Carolina University

The effective formulation of East Carolina University’s vision and mission demands the broadest possible exchange of information and opinion among the Board of Trustees, the Chancellor, Administration, and the Faculty. Each should have a voice in the determination of ECU’s vision and mission. Therefore, because of their educational, research, service, clinical, and other functions, the faculty should participate in the creation of ECU’s vision, mission, and other strategic planning documents.

(FS Resolution #11-101, December 2011)

Part II, Section II: Faculty Constitution and By-Laws

Contents

Faculty Constitution

• Article I. The General Faculty
• Article II. Organization of the Faculty Senate
• Article III. Functions of the Faculty Senate
• Article IV. Officers of the Faculty and Faculty Senate
• Article V. Duties of the Officers of the Faculty Senate
• Article VI. Meetings of the Faculty Senate
• Article VII. Amendments
• Article VIII. Adoption and Changing of By-Laws of the Faculty Constitution

By-laws of the Faculty Constitution

• Article IX. Operation of the Faculty Senate
• Article X. Committees of the Faculty Senate
• Article XI. The Graduate Council
• Article XII. The Faculty Assembly

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Faculty Constitution of East Carolina University

Preamble

The principle of shared governance, as understood by the University of North Carolina’s Board of Governors, makes the faculty of East Carolina University responsible to advise the Chancellor on academic policy, institutional governance, and any other matters pertaining to the institutions that are of interest and concern to the faculty (The Code of the Board of Governors of University of North Carolina, Section 502 D(2)).

This Constitution establishes procedures whereby this responsibility shall be discharged, and it defines the functions of the following governing bodies: the General Faculty, and the Faculty Senate. The General Faculty shall be the general electorate for the Faculty Senate, and the Faculty Senate shall be a legislative and advisory body representing the General Faculty.

The electoral units (see: Article III) shall establish governance structures in accordance with this Constitution. In adopting these structures, the electoral units shall recognize the right of the faculty to elect their own representatives.

Nothing in these articles shall limit the authority or obligations of Chancellor as specified in the UNC Code.

Article I. The General Faculty

Section 1. The General Faculty shall consist of all persons holding appointment to the rank or title of professor, associate professor, assistant professor or instructor inclusive of all modifiers; artists-in-residence and writers-in-residence; and emeritus faculty. The General Faculty shall have as its presiding officer the Chair of the Faculty, who shall be responsible for calling its meetings and for keeping a record of its proceedings.

Section 2. The voting membership of the General Faculty shall consist of all permanent employees of East Carolina University holding appointment to a tenured or probationary-term rank or a fixed-term title.

Section 3. The legislative powers of the General Faculty are vested in the Faculty Senate, whose powers are defined and members elected according to the provisions of Articles II and III.

Section 4. The Code of the Board of Governors of The University of North Carolina, Section 502.D(2) gives the Chancellor the responsibility for ensuring that East Carolina University has a faculty council or senate to “advise the chancellor on any matters pertaining to the institution that are of interest and concern to the faculty.” East Carolina University has elected to establish a Faculty Senate to advise the Chancellor in these matters.

Section 5. The General Faculty shall be empowered to perform the following functions: request and hear reports from and make recommendations to the Chancellor, the Faculty Senate or any member of the administration; discuss any matter relating to the welfare of East Carolina University or of the members thereof; amend this Constitution in accordance with the provisions in Article VII.

Section 6. The General Faculty shall meet at the pleasure of the Chancellor or the Faculty Senate of East Carolina University or upon petition to the Chancellor by at least fifteen percent of the General Faculty. A quorum is conclusively presumed at any meeting of the General Faculty called with at least ten days written notice. Otherwise, the presence of 125 voting members is necessary for a quorum.

Section 7. The academic units shall be organized into code units according to procedures recommended by the Faculty Senate and approved by the Chancellor. Except for the academic libraries, each code unit shall be responsible for at least one degree program.

Article II. Organization of the Faculty Senate

Section 1. The membership of the Faculty Senate shall consist of elected representatives and ex-officio members.

Section 2. The electoral units for the Faculty Senate shall be the academic code units. Each electoral unit shall be represented in the Faculty Senate in proportion to its share of the voting membership of the General Faculty, with at least one Senator but not to exceed fifteen percent of the elected Senators. All voting members of the General Faculty in at least their second year of appointment to the electoral unit that they will represent are eligible for election to the Faculty Senate.

Section 3. The number of elected faculty senators shall not exceed 63 nor be fewer than 57. Prior to the election each academic year, the ratio of faculty members to elected faculty senators will be determined by the Faculty Officers in accordance with the Faculty Senate Apportionment Guidelines. The Apportionment Guidelines will be reviewed by the Faculty Governance Committee every five years. Apportionment shall be based upon the number of voting members of the General Faculty appointed to each electoral unit at the start of the spring semester. In the event that an electoral unit must reduce its existing number of faculty senators, it shall do so by following democratic procedures.

Section 4. Each electoral unit shall elect alternate representatives as it deems necessary but not fewer that its allotment of Faculty Senators. Alternates shall be available to represent the electoral unit in place of an elected Senator at the Senator’s request. In such a situation, the alternate shall notify the Secretary of the Faculty.

Section 5. The faculty of each electoral unit shall establish procedures for the election of its Faculty Senate delegation (elected Senators and Alternates). All voting shall be by secret ballot. Each unit’s election procedures, and any revisions of such procedures, must be approved by the Faculty Senate.

Section 6. All voting members of the General Faculty are eligible to vote for faculty senators. Elections shall be held no later than the end of March each year with members-elect to take office on the day following the last regular meeting of the Faculty Senate in the spring semester.

Section 7. Senators and alternates shall serve two-year terms. Senators may be re-elected twice. After a lapse of one year following the expiration of this third term, they will again be eligible for election. Alternate representatives are not subject to term limits.

Section 8. In the event that a Faculty Senator is unable to complete a full term, that Senator’s electoral unit shall elect a replacement to serve the remainder of the original term.

Section 9. The seat of an elected senator who fails to attend more than three consecutively held meetings of the Faculty Senate shall be declared vacated by the Chair of the Faculty. If a senator is awarded a research or medical leave and an alternate senator attends in their place, the three consecutive meeting rule will not be invoked. (Faculty Senate Resolution #9-06).

Section 10. The ex-officio members of the Faculty Senate with vote shall include the following representatives of the East Carolina University administration: Chancellor; Provost, Vice Chancellor for Student Affairs, and one academic dean selected annually by the Provost. The immediate past Chair of the Faculty and the elected Delegates of East Carolina University’s Faculty Assembly shall also be ex-officio members. Ex-officio members of the Faculty Senate with vote shall have a vote in all Senate matters except the election of officers and committee members. Ex-officio members of the Faculty Senate without vote shall include a representative selected by the Staff Senate.

Article III. Functions of the Faculty Senate

Section 1. The elected members of the Faculty Senate and the various committees on which the faculty serve are the primary fora for the essential joint effort of the faculty and administration in the government of East Carolina University. The Chancellor and the Chair of the Faculty shall facilitate communication which will enable continuing and effective faculty participation in the Faculty Senate. The membership of the Faculty Senate shall consist of elected representatives and ex-officio members.

Section 2. The deliberative and advisory function of the General Faculty are realized in the Faculty Senate. The Faculty Senate shall ratify, amend, or remand all recommendations on academic policy or faculty welfare from standing or special committee of the Faculty Senate, or initiate consideration of any matters pertaining to academic policy or institutional governance, with particular emphasis upon matters of curriculum degree requirements, instructional standards, and grading criteria.

Section 3. The Faculty Senate shall be authorized to set up such committees as are necessary for the performance of its duties. The Faculty Senate may, at its own discretion, seek the advice and counsel of any member of the General Faculty.

Section 4. In exercising its function the Faculty Senate shall establish reasonable procedures to further Faculty Senate business.

Section 5. All action items passed by the Faculty Senate shall be forwarded to the Chancellor. The Chancellor shall notify the Chair of the Faculty in writing when action items from the Faculty Senate cannot be approved within thirty calendar days of receipt.

Section 6. The General Faculty shall be empowered to make recommendations to the Chancellor to amend or rescind any actions approved by the Faculty Senate. Any such actions shall require an affirmative vote of at least two-thirds of those faculty present and voting at a duly called meeting of the General Faculty.

Article IV. Officers of the Faculty and Faculty Senate

Section 1. The Faculty Officers shall consist of the following: the Chair of the Faculty, the Vice Chair of the Faculty, and the Secretary of the Faculty. Other positions may be established as they become advisable or necessary.

Section 2. All full-time faculty members in at least their sixth year of appointment are eligible to serve as Chair or Vice Chair of the Faculty. All full-time faculty members in at least their second year of appointment are eligible to serve as Secretary of the Faculty. In the event that a Faculty Officer is also a faculty senator, the electoral unit having elected the Senator is invited to elect a replacement. Faculty Officers who are not elected members of the Faculty Senate will not have a vote or count toward a quorum. The term of Faculty Officers shall be one year with the privilege of reelection.

Section 3. At the second regular meeting of the spring semester the elected members of the Faculty Senate shall nominate and elect a nominating committee to consist of five members. The nominating committee shall be elected from the ranks of the elected members of the Faculty Senate by a majority of those present and voting. Voting for members of the nominating committee shall be by secret ballot.

Section 4. The nominating committee shall submit to the Faculty Senate Office Administrator a slate of candidates for each office of the Faculty Senate at least two weeks prior to scheduled elections. Election of officers shall take place during an organizational meeting to be held on a Tuesday following the last regular meeting of the spring semester. Further nominations put forward by elected Senators or their designated alternates will be accepted from the floor. Voting for all officers shall be by secret ballot. Officers shall be elected by a majority of the elected Senators present and voting and shall assume their duties on July 1 following election.

Section 5. Before the first regular meeting of the Faculty Senate, the Chair will appoint the Parliamentarian of the Faculty. The Parliamentarian shall advise the Chair and the faculty on the parliamentary matters according to the latest edition of Robert's Rules of Order, Newly Revised and the Faculty Constitution and its By-Laws. The Parliamentarian need not be a member of the Faculty Senate.

Section 6. If the office of the Chair of the Faculty shall become vacant, the position shall be assumed by the Vice Chair of the Faculty. If other offices shall become vacant, they shall be filled by a special election conducted by the Faculty Senate.

Article V. Duties of the Officers of the Faculty Senate

Section 1. The Chair of the Faculty shall preside at all meetings. They are empowered to call special meetings as hereinafter provided. The Chair is an ex-officio member of all academic committees of the Faculty Senate, and represents the faculty on administrative committees. The Chair may delegate to the Vice Chair or an appointed representative their seat on any of the academic or various administrative committees. The Chair shall appoint persons to fill unexpired terms of committees.

Section 2. The Chair of the Faculty supervises the Faculty Senate Office Administrator and, with their assistance, plans the Fall Faculty Convocation. The Chair is responsible for conveying greetings of the Faculty at commencement exercises and representing the Faculty at university functions and Board of Trustees meetings. For the length of their term as Chair, the Chair of the Faculty serves as a Delegate to the Faculty Assembly (but not exceeding six consecutive years), with duties as a delegate described in the Bylaws of the Faculty Assembly of the University of North Carolina, and referenced in the ECU Faculty Manual.

Section 3. The Vice Chair of the Faculty shall perform all of the duties of the Chair in the absence or incapacity of the Chair. The Vice Chair of the Faculty shall serve, at the request of the Chair of the Faculty, as the Chair's representative on Faculty Senate Committees. The Vice Chair of the Faculty shall succeed to the office of Chair of the Faculty in the event that the office should become vacant during the term of the incumbent.

Section 4. The Secretary of the Faculty, with the assistance of the Faculty Senate Office Administrator, shall keep accurate minutes of all regular and special meetings, ensure distribution of copies of the minutes to all members of the General Faculty, keep an accurate list of membership of the Faculty Senate, keep an accurate record of attendance, inform the Faculty Senate Office Administrator when a seat becomes vacant, serve, at the request of the Chair of the Faculty, as the Chair's representative on Faculty Senate committees, and perform such other appropriate duties as directed by the Faculty Senate.

Article VI. Meetings of the Faculty Senate

Section 1. Four regular meetings of the Faculty Senate will be held each fall and spring semester according to a schedule prepared by the Agenda Committee and approved by the Senate in the Fall Semester of the preceding year. The organizational meeting of the Faculty Senate will be held on a Tuesday following the last regular meeting of the spring semester.

Section 2. Upon written petition of fifteen members of the Faculty Senate, the Chair shall call a special session of the Faculty Senate within four workdays. In an exceptional situation in which the regular procedures for scheduling a meeting of the Faculty Senate are clearly inadequate and would occasion undue delay, the Chair of the Faculty shall be empowered to call a special session of the Faculty Senate. A notice stating the purpose of the special session shall be distributed to the members of the Faculty Senate and the General Faculty twenty-four hours prior to the meeting.

Section 3. A quorum shall consist of three-fifths of the elected faculty members of the Faculty Senate. Each elected member of the Faculty Senate shall have one vote. Unless otherwise indicated, the ex-officio members shall have one vote each. Voting by the Faculty Senate shall ordinarily be by voice vote. All matters shall be decided by a majority vote of those Senators present and voting except as stated in this constitution.

Section 4. The General Faculty shall be informed of the time, place, and agenda of all regular and special meetings. Meetings of the Faculty Senate shall be open to all members of the general public in accordance with the North Carolina Open Meetings Law.

Section 5. Upon the unanimous consent of the Faculty Officers, regular or special meetings of the Faculty Senate may be held via a teleconference or videoconference, provided that all Senators are able to be recognized, engage in discussion, receive pending motions, and participate in votes. The procedures for electronic meetings must be communicated to Senators as part of the agenda prior to the meeting date. Participation in a meeting by teleconference or videoconference shall constitute presence for purposes of voting and the determination of a quorum.

Article VII. Amendments

Section 1. Amendments to this Constitution must be recommended by the General Faculty and approved by the Chancellor.

Section 2. Any proposed amendment to the Faculty Constitution shall be presented first at a regular meeting of the Faculty Senate for discussion, amendment, or substitution. At the next regular meeting of the Faculty Senate said proposed amendment will be voted upon for submission to the General Faculty.

Section 3. Amendments to the Faculty Constitution that have been recommended by the Faculty Senate shall be reviewed by the General Faculty. The General Faculty’s recommendation of an amendment shall require a two-thirds affirmative vote of those present and voting at a meeting of the General Faculty.

Section 4. Amendments to this Constitution that have been recommended by the General Faculty shall be forwarded to the Chancellor for review. Amendments become effective with the Chancellor’s approval.

Article VIII. Adoption and Changing of By-Laws of the Faculty Constitution

Section 1. The Faculty Senate shall establish by-laws necessary to execute the business of the Faculty Senate. A motion to amend the by-laws shall be presented first at a regular meeting of the Faculty Senate for discussion only. At the next regular meeting of the Faculty Senate the motion to amend the by-laws will be acted upon, requiring a vote of two thirds of those elected senators present and voting for approval. After approval, the Faculty Senate shall forward the amendment to the Chancellor for review and approval.

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By-laws of the Faculty Constitution

Article IX. Operation of the Faculty Senate

Section 1. The Faculty Senate shall be free to establish its own agenda. The agenda for meetings of the Faculty Senate shall be prepared by the Agenda Committee and disseminated to each member of the faculty at least one week prior to the meeting.

Section 2. All matters of academic policy brought before the Agenda Committee by action of the general faculty, any senator, or any standing or special committee shall be placed on the agenda not later than the time of the second regular meeting of the Faculty Senate after receipt of the recommendation.

Section 3. The following order of business shall be observed in meetings of the Faculty Senate unless Senators vote to change the procedures as provided in this constitution: (I) call to order, (II) approval of the minutes, (III) special order of the day, (IV) unfinished business, (V) report of Graduate Council, (VI) reports of committees, (VII) new business.

Section 4. Matters to be brought before the Faculty Senate shall be considered in the order set forth by the Agenda Committee unless modified by a two-thirds vote of faculty senators present and voting at any meeting of the Faculty Senate.

Section 5. To facilitate the efficient flow of business, seats shall be assigned as follows: Faculty Senators or their alternates shall be assigned seats in alphabetical order by electoral units. Ex-officio members shall be assigned seats on one row. Faculty members visiting the Senate shall seat themselves in the back of the meeting room, behind the seats assigned to Senate members.

Section 6. Only elected and ex-officio members (including alternates, representing their electoral units) may answer the roll call, vote, or occupy seats assigned to senators. Visitors may not participate in Senate discussions and business except by advance invitation of the Senate Agenda Committee or the Chair of the Faculty. Such an invitation will be announced to the Senators prior to the meeting.

Section 7. The minutes of the Faculty Senate shall be the responsibility of the Faculty Senate Committee on Minutes comprised of the Chair of the Faculty, Vice Chair of the Faculty, and Secretary of the Faculty with the assistance of the Faculty Senate Office Administrator. Minutes shall become official on approval by the Faculty Senate Committee on Minutes. The Faculty Senate Office Administrator will post the official minutes on the Faculty Senate website. Any corrections to the minutes by the Senate shall be made a part of the official minutes of the subsequent meeting. Incorporation into the official minutes of verbatim remarks shall be allowed or disallowed at the discretion of the Faculty Senate Committee on Minutes. The Chair of the Faculty may request that verbatim remarks be submitted in writing to the Secretary of the Faculty.

Article X. Committees of the Faculty Senate

Section 1. The standing committees of the Faculty Senate shall consist of Academic Committees, Faculty Senate Committees, and the Appellate Committee. The charge of each standing committee is available electronically on the Faculty Senate web site. The establishment and dissolution of standing committees is the responsibility of the Committee on Committees.

Section 2. Unless otherwise specified in a committee’s charge, all faculty members in at least their second consecutive year of full-time employment at East Carolina University are eligible to serve on Faculty Senate standing committees. A majority of the voting members of each Committee must be faculty members, and a variety of ranks and titles should be represented on each roster. The Chancellor and the Chair of the Faculty or their representatives serve as ex-officio members of all committees (Faculty Senate Resolution #20-27). Student members are nominated by the Student Government Association for appointment by the Chancellor. Members of committees serve in accordance with their ability, training, and experience rather than as representatives of their electoral unit.

Section 3. Members of Academic and Appellate Committees are elected to staggered three-year terms, which extend to the beginning of the fall semester. Service on an academic or administrative committee is limited to election to two consecutive three-year terms with ineligibility for election to the same committee for at least one year. Faculty members are not eligible to serve as an elected regular member on more than one Academic Committee at a time.

Section 4. The Chair of the Faculty may declare an elected member's seat vacant upon the occurrence of three consecutive absences of that member. The Chair of the Faculty will appoint faculty members to fill vacancies of any Faculty Senate or Academic Committee that may occur during the academic year.

Section 5. The election of members to Academic Committees shall be as follows:

1. Volunteers are solicited for committee service by the Committee on Committees with the assistance of the Faculty Senate Office Administrator.
2. After reviewing the list of volunteers, the Committee on Committees presents to the Faculty Senate a slate of one or more nominees for each vacancy. Nominations may also be made from the floor of the Faculty Senate by any elected Senator (or their alternate). Election of Academic Committee members will take place at the Faculty Senate Organizational Meeting. Election will be by majority of elected Senators present and voting.
3. The process above shall also be used in the election of faculty members to university Administrative Committees in cases where the committee charge specifies election by the Faculty Senate.

Section 6. Appellate Committee members must be permanently tenured, or probationary (tenure-track) voting faculty holding no administrative title (ECU Faculty Manual Part IX, Section I - Tenure and Promotion Policies and Procedures). The process for election of faculty to the Appellate Committee, which serves as a pool for populating hearing panels (see ECU Faculty Manual Part XII, Faculty Grievance Policies and Procedures) will be as follows:

1. Each year in January, the Committee on Committees will solicit volunteers to serve on the Appellate Committee. Responses are due in the Faculty Senate office in February.
2. The Committee on Committees will review all responses and present to the Faculty Senate a slate of one or more nominees as there are vacancies to fill. Nominations may also be made from the Faculty Senate floor. Appellate Committee members will be elected at the spring Faculty Senate Organizational meeting. Election will be by a majority of elected Senators present and voting. This by-law may be suspended in accordance with procedures specified in Robert's Rules of Order, Newly Revised.
3. A total of 30 tenured and probationary faculty will comprise the Appellate Committee, all serving three-year terms that are staggered with 10 members elected annually. All faculty ranks must be represented, with no fewer than 10 members from the rank of Professor, no fewer than 10 members from the rank of Associate Professor, and no more than five members from the rank of Assistant Professor. Individual faculty members are eligible to serve two consecutive three-year terms, which may extend to the beginning of the fall semester in the final year of a term. Faculty will be ineligible to serve again for one academic year after conclusion of a second consecutive term.
4. When vacancies occur in the Appellate Committee between annual elections, the Faculty Senate will elect additional faculty members to the committee through nominations initiated by the Committee on Committees.
5. Faculty who have been involved as either a grievant or respondent in an appellate hearing cannot serve on the Appellate Committee for the period of one three-year term from the date of the final decision on that appeal.
6. An Appellate Committee member who becomes a grievant or respondent while serving will be replaced by the usual procedure for vacancies between annual elections.
7. Members of the Faculty Governance Committee cannot be elected concurrently to the Appellate Committee.

Section 7. Regular members of the Agenda Committee and Committee on Committees must be elected Faculty Senators. Members are elected to one-year terms from among nominations made by elected Senators from the floor during the spring organizational meeting of the Faculty Senate. Service on the Agenda Committee and Committee on Committees is limited to six consecutive years with ineligibility for election to the same committee for at least one year.

Section 8. Officers of each committee are elected from among the regular members for a term of one year. Previous service as a committee officer shall not prejudice a member's election to any committee office. Under normal circumstances each committee shall have a chairperson, a vice chairperson, and a secretary. Interim elections may be held to fill an office that has become vacant or to replace an officer that two-thirds of the full committee membership deems is not fulfilling the obligations of the office.

Section 9. Faculty Senate and Academic Committees meet on a standard schedule, set and revised by the Committee on Committees. All committees and subcommittees, unless prohibited explicitly by the committee's charge, University policies, or state statutes, shall hold their regular and special meetings in open session in accordance with the North Carolina Open Meetings Law. The committee chairperson is responsible for informing the Senate office of the time and place of such meetings so they may be placed on the Senate calendar and publicized in order that interested faculty may attend.

Section 10. Each committee shall operate according to the latest version of Robert's Rules of Order, Newly Revised. Minutes of each committee are on file in the Faculty Senate office and available electronically on the Faculty Senate web site and shall be sent to members of the committee and Chair of the Faculty. A file on each committee's activities and records shall be maintained in the Faculty Senate office.

Section 11. The agenda for committee meetings is set by the committee chair and shall be disseminated to committee members in advance of the meeting. In carrying out the duties specified in their charges, committees should consult with appropriate administrators and are encouraged to invite persons with relevant expertise to attend committee meetings.

Section 12. The officers of each committee shall prepare and submit to the Faculty Senate Office in May of each year an Annual Report outlining the committee’s activities for that academic year. Copies of the committees' annual reports will be kept on file in the University Archives and Faculty Senate office, and made available electronically on the Faculty Senate web site. Upon request, copies of committees' annual reports shall be made available by the Faculty Senate office. Copies of the Annual Reports are also provided in committee organizational material at the start of the Fall semester.

Section 13. The Chair of the Faculty shall each year compile the Annual Report of the Faculty Senate. This report shall contain, among other things, a summary of Senate and Senate committees' activities for the immediate past year. The Report will be distributed to the Chancellor, academic Vice Chancellors and made available on the Faculty Senate web site. Copies of the report will also be kept on file in the University Archives and the Faculty Senate office. In addition, copies of the Annual Report of the Faculty Senate will be distributed to the members of the Faculty Senate not later than the first regular Faculty Senate meeting of the next academic year.

Section 14. Special committees may be established by the Senate at the discretion of the Chair of the Faculty in consultation with the Faculty Officers. Members of special committees may be appointed by the Chair of the Faculty or elected by the Faculty Senate. At least one senator shall be on each special committee. The chair of a special committee may be appointed by the Chair of the Faculty or elected by committee members.

Article XI. The Graduate Council

Section 1. The Chair of the Faculty or their designee shall serve as an ex-officio member of the Graduate Council. The duties and responsibilities of the Graduate Council are described in the ECU Faculty Manual under Graduate School Governance. The Chair of the Graduate Council provides a monthly report to the Faculty Senate for information, comment, and advice.

Article XII. The Faculty Assembly

Section 1. Faculty Assembly delegates and alternates shall be elected as follows:

1. The Faculty Assembly nomination form will be distributed in November to all faculty by the Committee on Committees with assistance of the Faculty Senate Office Administrator. The completed nomination forms are due in the Faculty Senate office in December.
2. The Committee on Committees will review the nominations and present to the Faculty Senate a slate of one or more nominees for each vacancy. Additional nominations may be made from the Faculty Senate floor. Faculty Assembly representatives will be elected by the Faculty Senate at its January regular meeting. Election will be by majority present and voting. One Faculty Assembly Delegate will be the Chair of the Faculty, holding a term for each year they are elected to serve as Chair of the Faculty. As per the Bylaws of the Faculty Assembly, no delegate may serve on the Faculty Assembly for more than six consecutive years.

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Approved:

• FS Resolution #05-18 (Appendix A) September 2005, Chancellor
• FS Resolution #05-19 (By-Laws) April 2005, Chancellor

Amended:

• FS Resolution #09-06, September 2009
• FS Resolution #12-79, April 2012
• FS Resolution #14-88, December 2014
• FS Resolution #19-76, June 2021
• FS Resolution #20-27, April 2020
• FS Resolution #23-53, November 2023

Part II, Section III: Academic Policy, Administrative Policy, and Vetting of Administrative PRRs in Matters Relating to Faculty

Contents

1. Academic Policy
2. Administrative Policy
3. Vetting of Administrative PRRs in Matters Relating to Faculty Revised 12-17

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I. Academic Policy

The faculty organization of East Carolina University comprises the general faculty. As provided in Section 502D of The Code of UNC (pdf), the BOG requires the Chancellor to ensure that there exists in the institution a faculty council or senate, a majority of whose members are elected by and from the members of the faculty. The Faculty Senate is the legislative and advisory body which represents the general faculty and provides the means by which faculty are enabled to fulfill their function with respect to faculty welfare and academic and educational policies exclusive of graduate programs. The Faculty Senate acts upon reports and recommendations of its standing academic committees (and ad-hoc committees). Please refer to the ECU Faculty Manual, Faculty Constitution and By-Laws of East Carolina University for the detailed list of responsibilities and activities of the Faculty Senate. Graduate faculty governance and organizational matters are also outlined in the ECU Faculty Manual.
According to ECU Regulation 01.15.01 regarding recommendations for new PRRs or Changes to Existing PRRs, the Faculty Senate, the Graduate Council, Staff Senate, Student Government Association, any standing or ad hoc committee of East Carolina University or any administrative or academic officer, including Executive Officers, may recommend new PRRs or changes to existing PRRs. Any member of the University Community may forward recommendations for new or revised PRRs to any of the above entities/individuals. At East Carolina University, the general faculty are the general electorate and the Faculty Senate is the legislative and advisory body representing the general faculty. The Chancellor and the Chair of the Faculty facilitate communication that enables continuing and effective faculty participation in all aspects of the University community. The Chancellor is a member of all faculties and other academic bodies of the institution and shall have the right to preside over the deliberations of any legislative bodies of the faculties of the institution.
Academic policies pertaining to faculty shall be housed in the Faculty Manual, in particular matters relating to tenure and promotion, curriculum, degree requirements, instructional standards and grading, and faculty welfare. In the spirit of shared governance, before the Chancellor either adopts with revisions a regulation or recommends to the Board of Trustees a proposed policy that differs from a recommendation of the Faculty Senate regarding matters of tenure and promotion, curriculum, degree requirements, instruction standards, and grading, the Chancellor will seek additional advice from the Faculty Senate to be provided within a period the Chancellor establishes in the best interest of the University. (FS Resolution #12-67, April 2012)

II. Administrative Policy

Administrative policy, as distinct from academic policy, is determined by the chancellor in consultation with other administrative officers. Administrative committees are appointed by the chancellor (or the Chancellor’s designee) and report to the chancellor or to their designee. These committees, councils, and boards are not responsible to the Faculty Senate because of their jurisdictions and functions; however, the chair of the faculty (or an appointed representative) serves as an ex-officio member on most of the administrative committees. Complete list of current standing University administrative committees. (FS Resolution #12-06, January 2012)

III. Vetting of Administrative Policies, Rules, and Regulations (PRRs) in matters relating to Faculty

The following outlines the internal Faculty Senate process for obtaining Formal Faculty Advice on Administrative Policies, Rules, and Regulations (PRRs).

Based on the East Carolina University Policy Manual, the official repository of all approved PRRs at East Carolina University, and the regulation that governs Formatting, Adopting, and Publishing Policies, Regulations, and Rules, the following process has been established for the solicitation and provision of faculty advice on matters involving faculty in the areas of academic policies, faculty welfare, and university governance.

When the need for an administrative PRR is determined the appropriate delegated authority forwards the proposed PRR to the Chair of the Faculty. The Chair of the Faculty reviews and consults with Faculty Officers to determine whether the proposed PRR pertains to faculty and requires faculty review and vetting by Faculty Senate. If it is determined by the Faculty Officers that the proposed PRR does not pertain to faculty, the Chair provides written notification to the University Policy Committee (UPC). If a proposed PRR requires faculty review, the Chair of the Faculty asks the appropriate university academic/appellate committee to review and provide recommendations to the Chair and Faculty Senate as a means of formal faculty advice. During the faculty review, the appropriate Vice Chancellor will determine whether an interim PRR shall be posted online. If the committee determines that no formal faculty advice is required, the committee provides written notification to the Chair of the Faculty who reports to the UPC.

Those PRRs considered by Faculty Officers not to pertain to faculty, and those for which a Senate committee determines no formal advice is required, will be reported as announcements that provide the full Senate an opportunity to reconsider whether formal advice is needed.

When a committee determines that revisions are necessary to a proposed PRR, recommendations are forwarded to the Chair of the Faculty and Faculty Senate as formal faculty advice. The Chair of the Faculty forwards the committee recommendations to the delegated authority responsible for the proposed PRR to facilitate discussion and agreement.

If edits are made to a proposed PRR during faculty review or after Faculty Senate action, a new proposed PRR will be forwarded to the Chair of the Faculty who consults with the Faculty Officers to determine if the edits necessitate further faculty review and Faculty Senate action. If the Officers determine that further review is not necessary, the Chair provides written notification to the UPC. If additional review is necessary, the Chair asks the appropriate committee to review and provide recommendations to the Chair and Faculty Senate as additional formal faculty advice.

The Faculty Senate votes on university committee recommendations as formal faculty advice. If formal advice on a proposed PRR is approved by the Faculty Senate, it will be submitted to the Chancellor following the normal established approval/review process. The Chancellor will act according to the established process and notify the Chair of the Faculty that the faculty’s formal advice has been received.

Formal faculty advice on PRRs will be documented following the same recordkeeping process as all other Faculty Senate actions and resolutions. A history of the Faculty Senate recommendation/formal advice will be maintained in the Faculty Senate office in the same manner as all other Senate actions and resolutions and maintained as feedback to the PRR policy when published in the University Policy Manual. (FS Resolution #12-66, April 2012; FS Resolution #17-74, November 2017)

Part II, Section IV: Graduate School Organization

Contents

1. The Graduate Faculty
   1. Functions and Jurisdictions
   2. Meetings
   3. Canvass
   4. Privileges
   5. Implementation
   6. Membership
   7. Removal of Graduate Faculty Members Prior to Expiration of Their Terms
2. Directors and Coordinators of Graduate Programs, the Graduate Council, the Graduate Council Executive Committee, and the Graduate Curriculum Committee
   1. Directors and Coordinators of Graduate Programs
   2. Graduate Council
   3. Graduate Council Executive Committee
   4. Graduate Curriculum Committee
3. The Dean of the Graduate School - Functions and Jurisdiction
4. Modifications to the Graduate School Organization
   1. Graduate Council
   2. Graduate Faculty

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I. The Graduate Faculty

A. Functions and Jurisdictions

The graduate faculty exercises the authority within the university for development of general policies and procedures for all graduate courses and programs. The graduate faculty may recommend modifications to this document, “Graduate School Organization”, directly or through the concurrent approval of the Graduate Council using the procedure in Part IV of this document.

B. Meetings

The graduate faculty may meet in plenary session. Meetings may be called by the Graduate Council, or upon petition of 15% or more of the graduate faculty to the Dean. Notice of a plenary session with time, place, and agenda will be distributed to members of the graduate faculty at least a full week prior to the meeting.

One-half or more of the graduate faculty will constitute a quorum for purposes of transacting such business as appears on the printed agenda. A simple majority of those graduate faculty members in attendance will govern unless decision to the contrary is made prior to a ballot. When a quorum is not present at a called meeting, agenda items will be referred to the Graduate Council for action.
A plenary session will be conducted according to the most recent edition of Robert's Rules of Order. Minutes will be kept and distributed to all members of the university faculty not later than ten days following the session.

C. Canvass

Business and opinion polls may be conducted through canvass when approved by the Graduate Council. This canvass may be conducted either electronically or using paper ballots. If paper methodology is used, ballots or other materials will be addressed to each graduate faculty member and sent through campus mail or delivered by messengers. To transact business through a canvass, at least one-half of the total graduate faculty must vote. A simple majority will govern unless the Graduate Council establishes a different criterion when it approved a canvass. When a less than one-half of the total graduate faculty vote in a canvass, business items with the result of the canvas, will be referred to the Graduate Council for action.

When the graduate faculty is canvassed in this manner, each ballot will provide space in which each member can indicate their preference for a plenary session dealing with the issue to be decided. If 15 percent or more of the graduate faculty indicates preference for a session, the canvass will be nullified, and a plenary session will be called.

D. Voting Privileges

Only Graduate Teaching Faculty, Associate Graduate Faculty, and Graduate Faculty members may vote on university-wide graduate issues.

E. Implementation

Each code unit with a graduate program will develop a procedure for obtaining faculty input to the process of nominating graduate faculty and report this procedure to the Graduate Council. In addition, each code unit with a graduate program will examine the educational objectives of their graduate degrees, which were prepared for the SACS accreditation and articulate the types of research, creative activity, or other activities that are appropriate for graduate faculty in their discipline. Each code unit will then submit its articulation to the Graduate Council for approval. Once the articulation is approved, it will be used to evaluate nominations for the graduate and associate graduate faculty from the submitting code unit.

F. Membership

The following paragraphs address the general qualifications for membership, rights, privileges and responsibilities; method of appointment; and method of reappointment of each category of membership on the graduate faculty; and the methods of implementing these policies.
There are four types of membership in the graduate faculty. They are (1) graduate faculty member, (2) associate graduate faculty member, (3) graduate teaching faculty member, and (4) ex-officio graduate faculty member.

Graduate Faculty Members. Qualifications for graduate faculty members include:

• The highest earned degree in the field.
• Demonstrated evidence of success in research/creative activity.
• Demonstrated evidence of successful graduate teaching.
• Demonstrated evidence of successful supervision of research or creative activity, if applicable.

In some instances, extensive professional experience, high productivity, or successful competition for research/creative activity support may substitute for the highest degree.

Graduate faculty members are eligible to serve on the Graduate Curriculum Committee, may serve as a Graduate Program Coordinator, may teach graduate classes, and may be a member of doctoral or master's committees. Graduate faculty members with a terminal degree in an appropriate field of study may chair a master’s thesis committee or doctoral dissertation committee. Graduate faculty members not possessing a terminal degree may co-chair a master’s thesis committee when the other co-chair has associate graduate faculty status or higher and possesses a terminal degree in an appropriate field of study. Exceptions to this requirement may be granted by the Dean of the Graduate School prior to the formation of the committee. Code units may define additional criteria for eligibility to serve in doctoral programs. (FS Resolution #15-18)

Appointment to the graduate faculty occurs as the result of the following procedure. Upon recommendation of the graduate faculty of the code unit (the procedure for which has been outlined as described under Implementation, below), the appropriate unit administrator forwards a nomination to the dean of the college or professional school, as appropriate, and then to the Dean of the Graduate School. Each nomination should state the type of appointment and contain evidence that the nominee has satisfied the criteria for the type of membership sought in a manner consistent with the code unit's interpretation of those criteria. The Dean of the Graduate School will review the recommendation of the academic unit to determine that it is consistent with the unit’s criteria and appointment procedures. If the dean concurs, they will notify the academic unit and the faculty member of their appointment. If the dean does not approve the unit’s recommendation the application will automatically be referred to the Graduate Council. A two-thirds majority of the Graduate Council will be required to overturn the administrative decision.

Appointment to the graduate faculty is for five years. At the end of the term, the appointment will be reviewed within the unit in the manner outlined for initial appointments, except that the focus will be on the activity during the five years immediately preceding the evaluation. If it is the opinion of the code unit graduate faculty that the appointment should be renewed, the appropriate unit administrator forwards a nomination to the dean of the college or professional school, as appropriate, and then to the Dean of the Graduate School who will review the application. To be reappointed, it is not necessary for an individual to have participated in all phases of graduate education. Individuals appointed to major administrative assignments (department chairs or above) who are members or associate members of the graduate faculty at the time of their appointment are exempt from the re-nomination process until five years after the expiration of the administrative appointment. Individuals with other administrative appointments may be considered for a waiver by Graduate Council upon nomination by their code units. Retired and emeritus faculty who are members or associate members of the graduate faculty at the time of their retirement may be considered for reappointment for five-year renewable terms in the manner outlined in this paragraph. (FS Resolution #16-07, February 2016)

For faculty on probationary appointments, the term on the graduate faculty is coterminous with the length of that appointment or four years, whichever is longer. Tenure track faculty will be re-nominated for the graduate faculty as part of the contract renewal process immediately prior to the expiration of the term on the graduate faculty. The appropriate dean or chair will provide information on the faculty member's accomplishments during the period to the appropriate graduate faculty in the unit and the nomination process will proceed as outlined above.

Associate Graduate Faculty Members.
Qualifications for associate graduate faculty members include:

• Highest earned degree in the field.
• Demonstrated evidence of success or the potential for success in research/creative activity.
• Demonstrated evidence of successful graduate teaching or the potential of such success.
• Demonstrated evidence of successful supervision of research or creative activity or the potential of such success, if applicable. In some instances, extensive professional experience, high productivity, or successful competition for research/creative activity support may substitute for the highest degree.

Associate graduate faculty members may serve as Graduate Program Coordinators, may teach graduate classes, and may be a member of doctoral or master's committees. Associate graduate faculty members with a terminal degree in an appropriate field of study may chair a master’s thesis committee or doctoral dissertation committee. Associate graduate faculty members not possessing a terminal degree may co-chair a master’s thesis committee when the other co-chair has associate graduate faculty status or higher and possesses a terminal degree in an appropriate field of study. Exceptions to this requirement may be granted by the Dean of the Graduate School prior to the formation of the committee. Code units may define additional criteria for eligibility to serve in doctoral programs. Code units must define criteria for associate graduate faculty members to chair doctoral committees in their unit codes of operation. All procedures for appointment and reappointment as well as terms of office for the associate graduate faculty will be the same as those for the graduate faculty members. (FS Resolution #15-18)

Graduate Teaching Faculty Members.
Qualifications for graduate teaching faculty members include:

• Highest earned degree in the field.
• Professional certifications or licensure as specified by the code unit.
• Demonstrated evidence of success or the potential for success graduate teaching.
• Evidence of professional growth, e.g., completion of continuing education, participation in relevant seminars, or other professional activity. In some instances, especially for clinical faculty, extensive professional experience, high productivity, or successful competition for research/creative activity support may substitute for the highest degree.

Graduate teaching faculty members may teach masters or doctoral classes as appropriate for their background, certification, and experience and may be the fourth member of a thesis or dissertation committee upon certification of appropriate experience or expertise by the unit administrator.

All tenure-track faculty members who hold the appropriate terminal degree for the discipline in which they hold their appointments are deemed to be members of the graduate teaching faculty upon their initial appointments. Code units are responsible for notifying the dean of the college or professional school, as appropriate, and the Dean of the Graduate School of these individuals and requesting an appointment to the graduate teaching faculty. As part of their first evaluation for contract renewal of a probationary appointment, if the code unit wishes the person to become a member or associate member of the graduate faculty, it would use the information gathered in the process of contract renewal to provide the nominations as outlined above. If the code unit wishes the person to remain a member of the graduate teaching faculty, it renews the appointment by notifying the dean of the college or professional school, as appropriate, the Dean of the Graduate School, and the individual involved. If the code unit wishes to remove the person from responsibilities for graduate teaching, it notifies the person, the dean of the college or professional school if appropriate, and the Dean of the Graduate School.

Other appointments to the graduate teaching faculty are made by the appropriate code unit administrator, the graduate faculty of the code unit, and the Dean of the Graduate School, in accordance with procedures approved by the graduate faculty of the code unit. These appointments are valid for the terms of the individuals' contracts.

Ex-officio Members.
Administrators with responsibilities for graduate programs who do not hold other appointments to the graduate faculty will be appointed to an ex-officio membership commensurate with background and experience and will hold that appointment for the duration of their administrative appointment.

Thesis and Dissertation Committee Requirements.
All master’s thesis and doctoral dissertation committees must have a minimum of three ECU faculty members, including the student’s mentor, with graduate faculty or associate graduate faculty status. Programs may require larger committees, if desired. The inclusion of external members is a best practice in many disciplines and is encouraged.

External Thesis and Dissertation Committee Members.
Individuals external to ECU with demonstrated expertise in the area of study in a thesis or dissertation may serve on, but not chair a thesis or dissertation committee. The external member should have a terminal degree in an appropriate discipline or extensive professional experience. This appointment must be approved by the faculty Graduate Program Director or Coordinator and the unit graduate faculty members serving on the thesis or dissertation committee. The Graduate Program Director will maintain a record of external members’ credentials (academic CV or resume) in case they are needed for external review.

G. Removal of Graduate Faculty Members Prior to Expiration of Their Terms

If a graduate faculty member is found to be deficient in carrying out expected roles and responsibilities based on guidelines present in the Unit Code, every effort should be made to remediate the problems identified through normal faculty evaluative procedures. If a faculty member continues to demonstrate serious deficiencies, and/or fails to perform their duties professionally or ethically as a graduate faculty member, the unit head or one-half of the members of the graduate faculty at the same graduate faculty status or higher of the original nominating code unit may initiate a process to recommend removal of a faculty member from the graduate faculty prior to the end of the appointment period. Any such recommendation shall include the reasons for the recommendation in writing from the Graduate Program Director or Coordinator of the original nominating code unit. A two-thirds majority of the members of the graduate faculty at the same graduate faculty status or higher of the original nominating code unit must vote to confirm the recommendation. The recommendation shall be shared with the faculty member in question who has ten working days in which to respond in writing to those making the recommendation. Should a two-thirds majority of the members of the graduate faculty at the same graduate faculty status or higher of the original code unit wish to proceed, both their recommendation and the response of the faculty member shall be forwarded to the Unit head who will review this recommendation and response in consultation with the faculty member’s College Dean and Graduate Program Director or Coordinator. If the Unit Head and College Dean concur that the faculty member should no longer be a member of the graduate faculty, the Unit head makes this recommendation to the Dean of the Graduate School. The Dean of the Graduate School is then authorized to remove the individual from the graduate faculty. If the Unit Head and/or College Dean do not concur with the recommendation of the unit graduate faculty, the non-concurring recommendations of the graduate faculty and administrator(s), and the response of the faculty member, shall be forwarded to the Dean of the Graduate School for final decision. The removed faculty member shall have the right to appeal through general grievance procedures detailed in Part XII of the Faculty Manual.

Before a faculty member is removed the Graduate Program Director must confirm to the Dean of the Graduate School that students under supervision of the removed faculty member have been assigned to appropriate graduate faculty members in a manner specific to the program/department. If at some point in the future the removed faculty member chooses to apply to return to graduate faculty status, documentation regarding the removal of graduate faculty status will be included for consideration along with the request. (Faculty Senate Resolution #16-29, April 2016)

II. Directors and Coordinators of Graduate Programs, the Graduate Council, the Graduate Council Executive Committee, and the Graduate Curriculum Committee

A. Directors and Coordinators of Graduate Programs

Each Graduate Program and Graduate Certificate will have a designated Graduate Program Director or Coordinator who must be a Graduate or Associate Graduate Faculty member, approved by the unit chair and college dean and qualified to lead development and review of the program’s curriculum. In some professionally oriented disciplines, Graduate Program Directors and Coordinators whose job is to manage a graduate program may be approved by the Graduate School without Graduate or Associate Graduate Faculty status. In such cases, a Graduate or Associate Graduate Faculty member must also be designated to provide academic oversight and lead curriculum development of the graduate program. Meetings of Graduate Program Directors and Coordinators will be held at least twice per regular academic term and chaired by the Dean of the Graduate School or designee. These meetings will provide a forum where Graduate Program Directors and Coordinators may provide input to the Graduate School, the Graduate Council and the Graduate Curriculum Committee on any matters related to policies, practices, implementation, and administration of graduate education.
(FS Resolution #18-51, September 2018)

B. Graduate Council

The Graduate Council is comprised of 20 directors or coordinators of graduate programs elected to represent their respective colleges, the Brody School of Medicine and Integrated Coastal Programs; 4 Graduate Faculty (who are not program Directors) elected by the Faculty Senate (each from a different college, the Brody School of Medicine, or Integrated Coastal Programs); plus 3 at-large-appointments by the Dean of the Graduate School. In addition, there will be 5 ex-officio members with a vote, including the Chair of the Graduate Curriculum Committee (GCC), Chair of the Faculty or designee, a representative of the faculty senate, a representative of the Provost and Senior Vice Chancellor for Academic Affairs, and the President of the Graduate and Professional Student Senate (GPSS) or designee. The Dean of the Graduate School will be an ex-officio member without a vote. Graduate councilor allocations will be reviewed every three years starting at the beginning of the fall 2015 semester and allocated 50% in proportion to the number of graduate faculty and 50% in proportion to the graduate SCH production in their respective colleges.

Faculty Senate and college representatives are elected to fill expired or vacated terms according to procedures defined by the Senate and each college, at a time appropriate for each unit. All Graduate Council members are elected to serve three-year staggered terms for continuity. Regular terms begin with first Graduate Council meeting in the fall semester. The seat of an elected Graduate Council member who fails to attend more than three consecutively held meetings of the Graduate Council shall be declared vacated by the Chair of the Graduate Council. The Chair of the Graduate Council will contact the unit and request a replacement. The Graduate Council will annually elect a Council Chair and Vice-Chair as well as four persons to serve on the Graduate Council Executive Committee from the elected members of the Graduate Council during its April organizational meeting. (FS Resolution #15-18)

The Graduate Council will be responsible for consideration, debate, and voting on all graduate academic policies, and upon recommendation of the GCC, graduate curriculum and degree programs. Any member of the graduate faculty may recommend agenda items concerning graduate academic policy to the Graduate Council Executive Committee for inclusion on the Graduate Council agenda. New graduate degree programs, new certificates, new concentrations, degree title changes, and moving or discontinuing programs are also submitted to the Educational Policies and Planning Committee (EPPC) for review.

The Graduate Council will make recommendations to the Dean of the Graduate School, who may concur or not. The Dean will forward these recommendations to the Provost and then the Chancellor for final decision. The Chair of the Graduate Council will communicate recommendations to the Faculty Senate for information, comment, and advice.

The Chair of the Graduate Council will convene meetings of the Graduate Council, report at each Faculty Senate meeting on graduate matters, and seek Faculty Senate input. Graduate Council meeting agendas will be distributed electronically to all graduate faculty.

The Vice-Chair will assume the duties of the Chair if the Chair is unable to fulfill their duties.

The Graduate Council will

• Approve the membership of the Graduate Curriculum Committee;
• Approve Graduate Curriculum Committees (GCC) recommendations;
• Participate in the review of all existing graduate programs;
• Review all unit appeals of negative decisions made by the Dean of the Graduate School regarding graduate faculty appointments;
• Review and develop Graduate School policy including requirements for admission, retention of students, permissible course loads, transfer credit, grading, thesis and dissertation requirements and examinations, and standards for graduate faculty appointment;
• Make recommendations relating to graduate education to the Dean, Provost, and the Chancellor;
• Report its actions to the coordinators of graduate programs, graduate faculty, and Faculty Senate.

A simple majority of the elected members of the Graduate Council will constitute a quorum.

C. Graduate Council Executive Committee

The Graduate Council Executive Committee (GCEC) is comprised of the Graduate School Dean, the Graduate Council Chair, Vice-Chair, the Graduate Curriculum Committee Chair, and 4 members elected by and from the Graduate Council. The GCEC will meet at least once a month.
The GCEC will

• Review and approve all admissions by exception, requests for exceptions to transfer credit policy, and requests for exceptions to the time to degree requirements;
• Set the Graduate Council agenda;
• Prepare draft policies for consideration by the Graduate Council;
• Review the Graduate Council meeting minutes for presentation to the Graduate Council.
• Exercise delegated authority from the Graduate Council to consider and make decisions regarding urgent business matters of the Graduate Council during summer months when the full Graduate Council is not in session, with a full written report of any such actions provided to the Graduate Counsel at its first meeting of the Fall term. (FS Resolution #15-18)

D. Graduate Curriculum Committee

The Graduate Curriculum Committee (GCC) will consist of one graduate or associate graduate faculty member (tenure preferred) from each college and the Brody School of Medicine. Members will be nominated by their respective deans through a process established by the school or college. Where possible members will have experience in both masters and doctoral programs. There will be two ex-
officio members with vote including the president of the GPSS or designee and the Director of Academic Planning and Accreditation. The Graduate Council will review the credentials of the nominees and approve members to serve on the GCC. Members will serve staggered three-year terms. The Chair and Vice Chair of the GCC will be elected to serve a one-year term by and from the membership of the GCC. (FS Resolution #18-51, September 2018)

The GCC will review, consider and make recommendations to the Graduate Council on:

• Proposals for new graduate programs, certificates, concentrations, degree title changes, and moving or discontinuing graduate programs, certificates or concentrations.
• Proposals for new and revised graduate courses;
• Degree-related graduate catalog changes;
• Requests to delete, bank, and unbank graduate courses;
• Other graduate curriculum related matters;
• Changes to its charge;
• Other duties as assigned by the Graduate Council.
  The GCC will determine its own methods and procedures to fulfill its charge.

All recommendations of the GCC will be reported to the Graduate Council. Recommendations on new programs, new certificates, new concentrations, degree title changes, and moving or discontinuing programs will be reviewed by both the Graduate Council and the EPPC who then reports to the Faculty Senate. Both negative and positive recommendations will be reported to the Graduate Council and forwarded to the Provost and Chancellor.

III. The Dean of the Graduate School - Functions and Jurisdiction

The Dean is the chief executive officer of the Graduate School and chairs plenary sessions
of the graduate faculty. The Dean (or designee) will chair meetings of the graduate program coordinators. They will be available to advise and assist schools and departments in the planning and development of their graduate programs. They will be specifically responsible for coordinating with the general administration of the university all new graduate program proposals advanced by schools and departments.

The Dean will be responsible for the implementation and execution of policies, rules, regulations, and procedures established by the graduate faculty and the Graduate Council. The Dean is expected to articulate both the current status and the short-term and long-term concerns and objectives of graduate education at the university and to offer timely and appropriate recommendations for its improvement and greater efficiency in meeting the needs of its constituents.

The Dean will be responsible for the operation of the Graduate School office including the preparation of its annual budget, spending of funds, utilization of allocated office space, assignments of responsibilities to staff, and the establishment of office procedures for effective implementation of all administrative tasks performed by the Graduate School office.

The Dean will develop procedures for consultation with other units of the university and extramural academic, professional, governmental, and community groups.

IV. Modifications to the Graduate School Organization

A. Graduate Council

The Graduate Council may recommend revisions to this document. The Graduate Council will make recommendations to the Dean of the Graduate School, who may concur or not. The Dean will forward these recommendations to the Provost and then the Chancellor for final decision. The Chair of the Graduate Council will communicate recommendations to the Faculty Senate for information, comment, and advice.

B. Graduate Faculty

The graduate faculty may recommend revisions to this document, “Graduate School Organization,” through a majority vote in plenary session where a quorum is established, through canvass conducted according to Part I.C of this document or through the concurrent approval of the Graduate Council. Recommendations of the graduate faculty will be reviewed by the Dean of the Graduate School and Provost and forwarded to the Chancellor for final decision. The Chair of the Graduate Council will communicate graduate faculty recommendations to the Faculty Senate for information, comment, and advice.

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Approved by the Faculty Senate: January 24, 2012 (Resolution #12-03)
Accepted by the Chancellor: April 3, 2012 (with approved statement)
Final Document Approved by the Chancellor: May 23, 2013

Revisions:
FS Resolution #15-18, March 2015
FS Resolution #16-07, February 2016
FS Resolution #16-29, April 2016
FS Resolution #18-51, September 2018
FS Resolution #21-17, April 2021
FS Resolution #21-63, January 2022
FS Resolution #22-01, February 2022
FS Resolution #23-33, June 2024

Part II, Section V: Faculty Involvement in Selection and Evaluation of Administrators

Contents

1. Appointment and Review of Administrative Officers at East Carolina University
2. Implementation Guidelines – Appointment and Review of Administrative Officers at East Carolina University
3. Annual Evaluation of University Administrators

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The faculty involvement in selection and evaluation of administrators are regulated by the following policies and guidelines:

I. Appointment and Review of Administrative Officers at East Carolina University

Appointment and Review of Administrative Officers, Board of Trustee Policy 01.15.16, November 2007, updated August 2024.

II. Implementation Guidelines – Appointment and Review of Administrative Officers at East Carolina University

Implementation Guidelines (pdf) - Appointment and Review of Administrative Officers at East Carolina University, Board of Trustee Policy, Spring 2009, updated August 2024.

III. Annual Evaluation of University Administrators

Faculty shall evaluate administrators annually, employing an instrument approved by the Faculty Senate and the Chancellor. The results of such evaluations shall be made available to the administrator and the administrator's supervisor.

(FS Resolution #11-45, March 2011)

Part III, Section I: UNC Policy Manual and the UNC Code (UNC Board of Governors)

As a constituent institution of the University of North Carolina, East Carolina University is subject to the policies in the University of North Carolina Policy Manual, which contains the Code of the Board of Governors of the University of North Carolina (the UNC Code) as section 100.1. The UNC Code is the document that establishes the University of North Carolina, the Board of Governors and its committees, and the Boards of Trustees of each constituent institution. The UNC Policy Manual supersedes the East Carolina University Faculty Manual should there be a conflict between the documents.

Chapter VI of the UNC Code, “Academic Freedom and Tenure,” contains many faculty-related policies, such as Academic Freedom and Responsibility of Faculty; Academic Tenure; Non-Disciplinary Separation; Disciplinary Discharge, Suspension, or Demotion; Non-reappointment, Denial of Tenure, and Denial of Promotion; Separation due to Retirement; Faculty Grievance Process; Students' Rights and Responsibilities; Jurisdiction of The Board of Governors; Rights of Special Faculty Members; and Review of Personnel Actions Affecting Specified Employees Exempt from the North Carolina Human Resources Act (EHRA).

University of North Carolina Policy Manual

Code of the Board of Governors of the University of North Carolina

(Faculty Senate Resolution #12-09)

Faculty Senate Resolution #22-58, January 2023, with publication delayed until July 2023

Part III, Section II: The Faculty Assembly of the University of North Carolina

The University of North Carolina Faculty Assembly was formed in 1972 when all of the State’s public senior institutions were brought into the University of North Carolina. The Charter of the University of North Carolina Faculty Assembly (PDF) gives the objectives for the body:

1. The Faculty Assembly of the University of North Carolina shall gather and exchange information on behalf of the faculties of the constituent institutions of The University of North Carolina.
2. The Assembly shall, through appropriate channels, advise the Board of Governors of The University of North Carolina, the General Assembly, and other governmental agencies and officers on matters of university-wide importance.
3. The Assembly shall advise and communicate with the President of the University of North Carolina with regard to the interests of the faculties and other matters of university-wide importance.

Each of the seventeen campuses of the University of North Carolina elects delegates to the Faculty Assembly according to guidelines on delegation size and composition given in the Charter. The Bylaws of the Faculty Assembly of the University of North Carolina (PDF) establish the procedures by which the Faculty Assembly operates and conducts its business.

Part III, Section III: East Carolina University Faculty Assembly Delegation

A. Composition and Terms of Delegates and Alternates

The procedure by which East Carolina University elects its Faculty Assembly Delegates and Alternate Delegates is contained in Article XII of the Bylaws of the Constitution of the Faculty of East Carolina University. ECU Faculty Assembly Delegates and Alternate Delegates should be full-time faculty, holding no administrative duties outside their departments. Terms are three years, with all regular terms of service beginning on and ending on July 1 of each year. A faculty member may not have served as a Delegate for more than six of the preceding nine years. Time spent while serving as an Alternate Delegate is not counted in the limitation.

B. Attendance of Faculty Assembly Meetings

Faculty Assembly Delegates are expected to attend Faculty Assembly meetings when possible. A Delegate who cannot attend a Faculty Assembly meeting should arrange for an Alternate Delegate to attend in their place. The Delegate should also notify the Chair of the UNC Faculty Assembly of the Alternate’s participation.

Generally, travel expenses for Delegates to participate in Faculty Assembly meetings are reimbursed by the UNC General Administration. Delegates are encouraged to carpool and use state vehicles where possible to minimize costs. Delegates must follow defined rules for travel and, to insure proper and timely reimbursement, are advised to turn in all travel paperwork prior to leaving the meeting.

Alternate Delegates participate in meetings only when/if they are asked to do so in place of a Delegate. Upon arrival to a meeting when attending for a Delegate, Alternate Delegates should notify the Chair of the Assembly and the administrative assistant.

C. Faculty Assembly Report to the East Carolina University Faculty Senate

Elected delegates to the UNC Faculty Assembly serve ex-officio on the ECU Faculty Senate with a vote in all Senate matters except the election of officers and committee members, as specified in the Faculty Constitution and By-Laws located in the ECU Faculty Manual. The Faculty Assembly delegation is responsible for compiling a written report of each Assembly meeting and presenting the report to the Senate. Usually, the elected delegates rotate reporting duties among all present. Minutes of the Assembly meeting may or may not be available prior to scheduled Faculty Senate meeting. As such, delegates should take notes and be prepared to provide a written report in addition to a verbal report to the Faculty Senate.

UNC Faculty Assembly Web Page

The Charter of the Faculty Assembly of the University of North Carolina (pdf)

The Bylaws of the Faculty Assembly of the University of North Carolina (pdf)

ECU Faculty Manual Part II, Section II – Article XII The Faculty Assembly

ECU Faculty Manual Part II, Section II- Faculty Constitution of East Carolina University

(Faculty Senate Resolution #12-08)

Part IV, Section I: Academic Code Units

Contents

1. Definition of Code Unit
2. Organizing as a Code Unit
3. Creating New Code Units and Making Changes to Existing Code Units

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I. Definition of Code Unit

By virtue of their professional disciplinary and inter-disciplinary expertise, East Carolina University faculty members are responsible for creating and implementing degree programs, associated curricula, and for performing numerous other activities essential to educating students, advancing knowledge and serving the university and the community. To fulfill this responsibility effectively, faculty members organize into self-governing departments, schools or colleges. The resulting organizational boundaries are neither arbitrary nor a reflection of individual interests. Disciplinary and interdisciplinary boundaries derive naturally from differences in the subjects studied and the methods required to generate new knowledge of these subjects. The operations of a faculty group organized around shared subject matters and research methodologies are governed by a document referred to as a "unit code." ECU uses the expression "code unit" to refer to a department, school or college whose operations are governed by a unit code. Differences between unit codes arise because of the subject matter and research methods of different code units. These differences require unique procedures that govern teaching, research, service and other assignments as well as the specific code unit’s criteria for appointment, reappointment, promotion and tenure, for example. The unit code document is created by a group of faculty members and approved by the applicable code unit voting faculty members as defined below (Part IV, Section II, subsection III), the Unit Code Screening Committee, the Faculty Senate, and the Chancellor. In this process, the administrator to whom the code unit administrator reports, typically a dean, reviews a draft code and may provide advice. When the code unit is a college and the next higher administrator is the Provost, the unit code is submitted directly to the Unit Code Screening Committee without review at this step by the Provost.

II. Organizing as a Code Unit

Requirements: To be eligible to organize as a Code Unit, a new or existing department, school or college, (or departments, schools or colleges created by splitting or combining existing code units), shall satisfy the following requirements:

1. Code Units shall contain sufficient faculty members to create and sustain one or more degree programs and their associated curricula (excepting the libraries). What suffices in any given case will be decided by the Provost or Dean of Brody School of Medicine's delegate (as appropriate to supervisory authority) in consultation with the faculty with at least one year of service who will be members of the Code Unit if established, the chairperson(s) or director(s) and the appropriate dean.
2. Code units shall be organized so as to distribute faculty and administrative responsibilities as follows (this list is not exhaustive of the duties of faculty members and administrators).
   1. Faculty: Faculty members are expected to perform responsibilities that may include, but are not limited to, providing course instruction in one or more degree programs and in General Education courses as appropriate; conducting research and/or creative activities and providing clinical service (as appropriate to the discipline); for advising majors; supervising graduate theses and dissertations and initiating recommendations on curriculum, degree program requirements, personnel actions, evaluation criteria, the unit’s strategic plan, the unit’s assessment activities, student, faculty and staff awards and the unit’s code of operations.
      
   2. Administration: The unit administrator is expected to perform responsibilities that may include, but are not limited to, faculty evaluation, for assigning duties to the unit’s faculty members, for recommendations regarding initial faculty salaries and salary increments, for the use of the unit’s budget, for fundraising, for maintaining the unit’s contracts, records and reports, for managing the unit’s support staff, for the unit’s compliance with all university policies, rules and regulations and for the unit’s compliance with all actions required by higher administration.
      
      In carrying out these responsibilities, the unit administrator shall promote equality for their students, faculty, and staff, a commitment to the core value of equality of opportunity in education and employment as described in the UNC Policy Manual 300.8.5 Equality within the University of North Carolina (pdf).

III. Creating New Code Units and Making Changes to Existing Code Units

1. Proposals recommending the creation of a code unit or units, or changes to an existing code unit: Proposals shall be initiated by a Code Unit Proposal Committee. A Code Unit Proposal Committee may be self-constituted by action of at least one-fourth of an existing code unit’s faculty members (but no fewer than three faculty members) or may consist of at least three faculty members appointed by a chairperson, director, dean, the Dean of Brody School of Medicine's delegate, the provost or the chancellor. The faculty members appointed to the committee will be some or all of the faculty members who will be members of the new or changed unit(s) except in a case when the people who will constitute the faculty of a new unit are not yet employed by ECU. In the case of the creation of a new code unit or changes to an existing code unit, proposals will include a provisional code of operations for the new or changed unit(s).

2. A Provisional Code will conform to the ECU Faculty Manual and, as much as is practicable, to the guidelines and requirements for Unit Codes that are set forth in this document [see Part IV, Section II, subsection IV]. A Provisional Code will be approved by the Educational Policies and Planning Committee, the Faculty Senate and the chancellor, and will be used for a maximum of three semesters after the formal development of the new unit. No later than three semesters after the creation of a new code unit having a Provisional Code, the faculty of the unit will develop and have approved an official Unit Code.

3. In the case of a provisional code that has been in use for three semesters in a code unit in which there are fewer than three eligible voting faculty members who have been employed for at least twelve consecutive months in the unit, the deadline for developing and having approved an official unit code shall be extended until there are three faculty members in the unit who are eligible to vote on the unit’s code (see Part IV, Section II, subsection III).

If faculty members will be displaced by the creation of new code units or by changes to existing code units, the proposal must address this situation.

In addition to creating new code units, some of the changes to existing code units that proposals may address include but need not be limited to:

1. dissolving a code unit without terminating the employment of the faculty members in the unit,
2. dividing a code unit into two or more code units,
3. merging a code unit with one or more other units,
4. moving a code unit to another school or college,
5. changing a code unit's status from a department in a college to a school, or from a school to one or more departments in a college, or the reverse,
6. renaming a code unit (As of May 2019, System Office no longer requires ECU to notify or seek permission for changes in unit name nomenclature.),
7. moving groups of faculty and/or disciplines from one coded unit to another (This type of move does not require UNC System Office approval.),
8. reorganizing departments within a code unit,
9. any combination of the above.

Changes in all code units will not be implemented until the faculty members in the units affected and the Faculty Senate have the opportunity to recommend to the Chancellor approval or disapproval of the proposed changes as originally presented or as amended by the affected units or the Faculty Senate. (FS Resolution #19-75, December 2019)

4. For units coded at the college level, a department's name change only is not required to follow the processes described in subsection III. Department name changes within a code unit do require updating the department name in the unit code. Further, approved department name changes must be provided, at a minimum, to the following: 1) the Provost (or designated representative); 2) Institutional Planning, Assessment and Research; 3) Department for People Operations, Success, and Opportunity (POSO); 4) Registrar's Office with special attention to the catalog editor; 5) the Faculty Senate Office; and 6) other administrators or entities appropriate to the relevant discipline.

5. Procedures for creating or changing code units:

1. The Code Unit Proposal Committee will provide copies of its proposal to all of the faculty members and administrators of the departments, schools or colleges addressed by the proposal.
2. Within 15 working days after the proposal has been distributed, the Code Unit Proposal Committee will meet to discuss the proposal with the faculty members of affected departments, schools and/or colleges or with representatives elected by each affected unit, with the unit administrators, and with the appropriate deans and the Provost (or their representatives).
3. Within 10 working days after this meeting, the permanently tenured faculty members of each affected unit, including the unit administrator(s), will meet and vote their approval or disapproval of the proposal in its original form or as amended by their action.
4. Within 10 working days the chair of the Code Unit Proposal Committee will forward to the next higher administrator the results of the unit's action.
5. Within 10 working days the next higher administrator will communicate in writing to the Code Unit Proposal Committee and to the Provost the following items: the unit faculty's action and their concurrence or non-concurrence with that action.
6. The Code Unit Proposal Committee shall present copies of the proposal, the affected units' faculty recommendations, and the relevant administrators' concurrence or non-concurrence to the chair of the Educational Policies and Planning Committee. The committee shall consult with appropriate deans and the Provost, and, if it deems necessary, with other faculty members and administrators. Within 40 working days (during the regular academic year), the committee will report its recommendations to the Faculty Senate.
7. The Faculty Senate will vote, in a timely manner, to recommend to the Chancellor the approval or disapproval of the proposal as originally received by the Educational Policies and Planning Committee or as amended by the Faculty Senate.
8. If the proposal is approved by the Chancellor (and higher authority if necessary), implementation of the proposal will be overseen by the next higher administrator(s) over the new or changed code units.

Upon approval of new unit codes, the old unit code of a unit that has undergone a change of the sort listed above will become null-and-void.

If faculty members in code units that meet the conditions for splitting into separate code units do not choose to split into separate code units, faculty in individual departments or schools (as appropriate) may democratically develop written rules for their internal organization and operation. These rules will be housed in the department’s or school’s administrative office.

Part IV, Section II: Unit Codes

Contents

1. Definition of Unit Code
2. Approval Process for New and Revised Unit Codes
3. Faculty Who May Vote on a Unit’s Code of Operation
4. Minimal Unit Code Requirements
5. Use of “Guidelines” by a Code Unit
6. Faculty Workload Guidelines
7. Five Year Review of a Unit Code
8. Faculty Senate Office Records
9. Unit Code Training
10. Unit Code Availability
11. School or College Constitutions or By-Laws
12. Acceptable models for code units in reorganization plan

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I. Definition of Unit Code

Each Code Unit shall develop a Unit Code of Operations that will provide for the conduct of the unit’s affairs according to Robert's Rules of Order, Newly Revised and the requirements set out below in subsection IV. A new or revised Unit Code shall be approved by the applicable code unit voting faculty members of the unit, as defined herein (see subsection III. below). A copy of each Unit Code, after approval, is housed within the Faculty Senate Office, the Code Unit Office, and is available for review by faculty and administrators within the unit. (FS Resolution #19-37, April 2019)

II. Approval Process for New and Revised Unit Codes

Each Code Unit will develop its own Unit Code of Operations, following the process described in this section of this document. Upon approval at the unit level, the unit administrator shall forward the new or revised Unit Code to the next higher administrator above the unit for advice. If the code unit is a college and the next higher administrator is the Provost, this step is not required. The Code Unit shall consider advice received and may amend its proposed code if approved by the applicable code unit voting faculty members as defined herein (Subsection III). The Unit Code next is submitted to the Unit Code Screening Committee of the Faculty Senate for review. Upon being approved by the Unit Code Screening Committee, the Unit Code is submitted to the Faculty Senate for review and, if approved, to the Chancellor for final approval. If the Chancellor requires revisions, they shall so indicate in writing and shall return the Unit Code to the unit for the required revisions. After revision, the code shall be approved by the applicable code unit voting faculty members as defined herein (Subsection III) and upon approval shall be dealt with as described above, up to and including receiving the chancellor’s approval or request for further revisions.

III. Faculty Who May Vote on a Unit’s Code of Operations

Responsibility for voting on a Unit Code rests with full-time faculty with a commitment to the unit demonstrated as follows. All permanently tenured faculty members with at least 12 consecutive months in a greater than 50% assignment in a unit and all full-time faculty with at least six years in a greater than 50% assignment in a unit count towards a quorum and may vote on the unit’s new or revised Code. This includes administrators who meet these conditions. An affirmative vote of at least two-thirds of faculty voting is required to approve a new or revised Unit Code.

A faculty member on non-medical leave from a greater than 50% assignment in a unit may vote if the faculty member wishes to do so but does not count towards a quorum unless they are present at a vote. A faculty member on approved medical leave is not permitted to participate in any University activities during the period of approved medical leave without written university approval. Faculty members with 50% or less assignment in a unit do not vote on the unit’s code.

In tenure-granting units, only permanently tenured, eligible voting faculty may vote on or amend a unit’s tenure, promotion, and post-tenure review criteria. A separate affirmative vote of at least a majority of voting tenured faculty is required to approve new or revised tenure, promotion, and post-tenure review criteria. Such approved criteria may not be further amended during the approval process of the full new or revised Unit Code by all voting faculty. (FS Resolution #19-37, April 2019)

IV. Minimal Unit Code Requirements

To provide consistency, unit codes should be developed following an approved outline that includes:

1. a preamble
2. definitions of the unit's faculty, its criteria for serving as a voting faculty member of the
   unit, and, where appropriate, its approved criteria for appointment to the graduate faculty
3. criteria for emeritus or emerita status in the unit
4. the administrative organization of the unit
5. the membership, terms, and duties of standing committees
6. responsibility for program coordination and curriculum oversight
7. current, updated, and approved faculty workload guidelines for fixed-term, probationary
   (tenure-track), and tenured faculty
8. current, updated, and approved guidelines, criteria, and weights governing the evaluation of
   tenured, and tenure-track faculty members annually and otherwise for all personnel actions,
   including recommendations for raises, merit awards, reappointment, promotion and the award
   of permanent tenure (ECU Faculty Manual, Parts VIII and IX).
9. guidelines, criteria, and weights governing the evaluation of fixed-term faculty members annually and otherwise for all personnel actions, including new or subsequent appointments, performance evaluations and advancement in title
10. standards for post-tenure review
11. procedures for meetings within the unit
12. procedures for the unit's voting faculty members to indicate in a timely fashion and by vote their approval or disapproval of the unit's major planning documents, assessment documents, Guidelines for Unit Academic Program Review, and other major reports prior to their submission in final form to person(s) outside the unit
13. procedures for discussing with its unit administrator the unit's annual budget request and annual report
14. amendment procedures.

In furtherance of UNC Policy 300.8.5 (Policy on Equality Within the University of North Carolina), unit codes may express a commitment to building a culture and community that continues to ensure that diverse persons of any background, from North Carolina and beyond, are invited, included, and treated equally.

V. Use of “Guidelines” by a Code Unit

When a Code Unit chooses to maintain a separate document that includes guidelines stating procedures to be followed with regard to faculty evaluation and/or matters not addressed in the unit’s code, the Faculty Manual, or the ECU Policy Manual, these guidelines shall be approved by applicable code unit voting faculty members (see “III” above). Amendments to Guidelines shall be approved by applicable code unit voting faculty members (see “III” above). Such Guidelines shall be referenced in the Unit Code, shall be in compliance with all policies in the ECU Faculty Manual and the ECU Policy Manual, shall be housed in the Code Unit’s administrative offices, in the office of the next-higher administrator and in the Faculty Senate office. At the time of the mandatory review of a unit’s code, a unit’s guidelines, if any, shall also be reviewed by the Unit Code Screening Committee for compliance with university policy. (FS Resolution #19-37, April 2019)

VI. Faculty Workload Guidelines

Each academic unit must, in consultation with the dean, establish and maintain workload guidelines that comply with the ECU Faculty Manual and the ECU University Policy Manual (ECU Policy on Faculty Workload). The guidelines must be approved by the dean or Library director and referenced in the unit code.

The guidelines must:

1. include an example work plan for each faculty appointment type (probationary term, permanently tenured, or fixed-term) according to their discipline and which is reflective of the missions of the university, the college and academic unit;
2. establish ordinary percentages for faculty workload in teaching, research/creative activity, patient care and related clinical responsibilities (if applicable), and service for each faculty appointment type which together constitute the 1.0 FTE in a manner consistent with the missions of ECU and the academic unit;
3. identify with reasonable particularity guidelines under which deviations in the ordinary percentages for a given academic unit may be approved;
4. provide qualitative and quantitative examples of efforts, including reasonable measures of outputs (i.e., organized course sections taught, student credit hours produced, research/creative activity productivity, etc.) connected to facilitation of career progression (i.e., reappointment, promotion, tenure, post-tenure review, advancement in title).

The following are definitions of faculty responsibilities:

1. Teaching
   In addition to organized courses, the faculty member’s instructional workload also includes other instructional efforts and considerations such as: course level (bachelors, master’s, doctoral); course categories; instructional format (lecture, lab, etc.); mode of delivery (virtual, F2F, hybrid); programmatic accreditation requirements; team-taught courses; course enrollment; new course prep; course development or significant redesign; development of instructional materials; developing courseware or other materials for technology-based instruction; office hours; supervision of undergraduate research projects, masters’ theses, and doctoral dissertations; academic advising; directing students in co-curricular activities such as plays; preparing and equipping new laboratories; supervision of teaching assistants; supervision of internships; mentoring students or other faculty; and other activities that support student success.
2. Research/Creative Activity
   Faculty members holding additional responsibilities for research/creative activity as identified in their annual work plan can have their teaching workload adjusted on a commensurate basis. These activities may include, but are not limited to: working in laboratories and studios; conducting empirical and/or theoretical research; engaging in development or translational work; producing creative works; community engagement which results in creative or scholarly outcomes; writing articles for scholarly, trade, and professional outlets; digital scholarship and exhibits; data mapping and dashboarding; monographs; grant proposals; editing scholarly journals; juried art exhibits; curation of archives or exhibitions; performing or creating plays, dramaturgy, concerts, or musical recitals; conducting sponsored research; and similar activities.
3. Patient Care and Related Clinical Responsibilities
   Refers to the prevention, treatment, and management of illness and the preservation of physical and mental well-being through services offered by licensed healthcare professionals (Health and Human Rights Resource Guide) conducted on behalf of ECU. At ECU, these duties will be further defined by applicable Unit Codes and Department guidelines but include activities related to direct patient care.
4. Service
   Faculty members holding additional responsibilities for service as identified in their annual workplan can have their teaching workload adjusted on a commensurate basis. Examples may include but are not limited to: committee service for a program, department, college, university, or system; professional or academic membership at the local, state, national or international level; advising student groups; mentoring; community service; and administrative responsibilities such as serving as a department chair, program director, or center director, and assistant or associate deans. Faculty members may also be assigned administrative responsibilities, including but not limited to, department chair/head, program director, center director, and assistant or associate deans. ECU Institutional policies and unit codes shall specify the means and extent by which administrative responsibilities count towards a faculty member’s total workload.

Each unit’s faculty workload guidelines will be maintained and made available by the Faculty Senate Office and undergo review by its unit faculty every 5 years.

VII. Five Year Review of a Unit Code

The Unit Code Screening Committee shall report to the Faculty Senate at its last regular meeting of the academic year the unit codes that have not been reviewed within the five year period and might not be in compliance with updated university policies, rules and regulations.

VIII. Faculty Senate Office Records

A copy of each approved Unit Code shall be maintained in the Faculty Senate office. Included with the approved code shall be a page containing the signatures of the chair of each reviewing body and the Chancellor or the Chancellor's delegate.

IX. Unit Code Training

The Chair of the Faculty includes an introduction to unit codes and guidelines in the annual new faculty and new administrator orientation sessions.

X. Unit Code Availability

Every tenured, probationary (tenure-track) and fixed-term faculty member in a Code Unit shall be provided with a copy of or link to the Unit Code and the unit Guidelines, if any, upon becoming a 51% FTE or greater member of the unit. (FS Resolution #12-40, March 2012)

XI. School or College Constitutions or By-Laws

A School or College in which departments are code units may establish a constitution or by-laws. These shall be developed with input from the School or College faculty and the Dean. They must specify the procedures for their ratification and amendment. Prior to their ratification, constitutions and by-laws must be submitted to the Unit Code Screening Committee for review and advice. After review and amendment, if necessary, the constitution or by-laws shall be approved at a general meeting, such as fall convocation, by a majority of the tenured faculty members present and voting. Upon ratification, the Constitution or by-laws shall be re-submitted to the Unit Code Screening Committee for approval and, if approved, forwarded for review and approval to the Faculty Senate and, subsequently, the Chancellor.

If a School or College constitution or by-laws contains provisions for a School or College Promotion and Tenure Advisory Committee, the applicable policies and procedures must be submitted to the Faculty Governance Committee for review and approval prior to ratification of the constitution or by-laws. (FS Resolution #19-20, March 2019)

XII. Acceptable Models for Code Units in Reorganization Plan

Please see the diagram of Acceptable Models for Code Units in Reorganization Plan (PDF).

Part IV, Section III: Seven Year Unit Program Evaluation

1. The Academic Program Review will be conducted according to the Academic Program Review Guidelines (pdf).
2. Changes to these guidelines need to be approved by the Educational Policies and Planning Committee and the Faculty Senate.
3. The Academic Program Review shall be used in the development of the program’s operational and strategic planning.

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(FS Resolution #11-45, March 2011)
(FS Resolution #15-63, May 2015)
(FS Resolution #17-39, May 2017)
(FS Resolution #19-07, February 2019)
(FS Resolution #19-37, April 2019)
(FS Resolution #19-75, December 2019)
(FS Resolution #21-02, February 2021)
(FS Resolution #21-21, April 2021)
(FS Resolution #21-22, April 2021)
(FS Resolution #23-61, January 2024)
(FS Resolution #24-76, February 2025)
(FS Resolution #24-81, March 2025)

Part V, Section I: Academic Freedom

The East Carolina University faculty and administration believe that in writing or speaking each member of the faculty has the same rights and duties as any other citizen. They believe also that each faculty member in exercising their right of free speech must realize that in the minds of many people they occupy a representative position and that in consequence the reputation of the university lies partly in their hands. Therefore, it is their duty to safeguard the reputation of the university and of their colleagues with special care.

East Carolina University accepts the following statement of principles as derived from the 1940 Statement of Principles on Academic Freedom and Tenure by the American Association of University Professors.

• The teacher is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of his or her other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.
• The teacher is entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to their subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.
• The college or university teacher is a citizen, a member of a learned profession, and an officer of an educational institution. When they speak or write as a citizen, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As a person of learning and an educational officer, they should remember that the public may judge their profession and their institution by their utterances. Hence, they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not an institutional spokesperson.

East Carolina University also accepts the following statement concerning "Professors and Political Activity" made in 1969 by the American Association of University Professors.

• The college or university faculty member is a citizen and, like other citizens, should be free to engage in political activities so far as they are able to do so consistently with their obligations as a teacher and scholar.

Many kinds of political activity (e.g., holding part-time office in a political party, seeking election to any office under circumstances that do not require extensive campaigning, or serving by appointment or election in a part-time political office) are consistent with effective service as a member of a faculty. Other kinds of political activity (e.g., intensive campaigning for elective office, serving in a state legislature, or serving a limited term in a full-time position) may require that the professor seek a leave of absence from his or her college or university.

In recognition of the legitimacy and social importance of political activity by faculty members, universities and colleges should provide institutional arrangements to permit it, similar to those applicable to other public or private extramural service. Such arrangements may include the reduction of the faculty member's workload or a leave of absence for the duration of an election campaign or a term of office, accompanied by equitable adjustment of compensation when necessary.

A faculty member seeking leave should recognize that they have a primary obligation to their institution and to their growth as an educator and scholar; they should be mindful of the problem which a leave of absence can create for their administration, their colleagues, and their students; and, they should not abuse the privilege by too frequent or too late application or too extended a leave. If adjustments in their favor are made, such as a reduction of a workload, they should expect them to be limited to a reasonable period.

A leave of absence incident to political activity should come under the institution's normal rules and regulations for leaves of absence. Such a leave should not affect unfavorably the tenure status of a faculty member, except that time spent on such leave from academic duties need not count as probationary service. The terms of a leave and its effect on the professor's status should be set forth in writing.

The policy set forth by the board of governors regarding political activities of university employees can be found in The University Policy Manual with a link to the Board of Governors policy (see item 300.5). (FS Resolution #11-44, March 2011)

Student Academic Freedom

The University shall provide opportunity for its students to derive educational benefits through developing their intellectual capabilities, encouraging their increased wisdom and understanding, and enhancing their knowledge and experience applicable to the effective discharge of civic, professional, and social responsibilities. The University shall not abridge either the freedom of students engaged in the responsible pursuit of knowledge or their right to fair and impartial evaluation of their academic performance. All members of the university community shall share in the responsibility for maintaining an environment in which academic freedom flourishes and in which the rights and freedom of each member of the academic community are respected.

Part V, Section II: Statement on Professional Ethics

The East Carolina University faculty and administration expect all ECU faculty to perform all their job responsibilities in conformance with the following Statement on Professional Ethics modified from the American Association of University Professors: Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.

1. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student’s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.
2. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors shall not discriminate against or engage in hostile conduct toward members of the university community. Expressing disagreement with others is an essential component of professional academic conduct, but professors shall refrain from bullying: that is, unwanted offensive and malicious behavior which undermines an individual or group through persistently negative attacks, typically with an element of vindictiveness and behavior calculated to undermine, patronize, humiliate, intimidate, or demean the recipient, and typically severe or pervasive and persistent, creating a hostile work environment. Professors shall respect and defend the free inquiry of associates, even when it leads to findings and conclusions that differ from their own. Professors shall give proper acknowledgement to the ideas and data of others and strive to be objective in their professional judgment of colleagues. Professors shall accept their share of faculty responsibilities for the governance of their institution.
3. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.

As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons, they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom. (Faculty Senate Resolution #11-93, January 2012)

Faculty Senate Resolution #11-44, March 2011
Faculty Senate Resolution #11-93, January 2012
Faculty Senate Resolution #21-24, April 2021
Faculty Senate Resolution #23-31, May 2023 (final approval October 2023)
Faculty Senate Resolution #25-14, March 2025

Part VI, Section I: Teaching Regulations and Guidelines Relating to Faculty

Contents

1. Faculty Workload
2. Office Hours
3. Faculty Academic Advising: Undergraduate and Graduate
4. Ordering Textbooks and Collateral Materials
5. Course Expectations and Requirements
6. Tests and Examinations
7. Final Examinations
8. Grades
   1. Grades and Grading
   2. Posting Grades
   3. Recording of Grades
   4. Change of Grade
   5. Grade of Incomplete
   6. Grade Appeal Policy
9. Academic Progress
10. Class attendance and Participation Regulations
11. Class Roll Verification
12. Use of Copyrighted Works
13. Policy to Remove General Education Credit

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This section provides a framework that permits the University to perform its academic mission uniformly and efficiently. Faculty members are expected to execute their teaching and advising duties within the context of these policies.

I. Faculty Workload

1. Faculty Workload is defined by the Faculty Workload Administrative Regulation. This regulation describes how workloads are determined at the university, college, and departmental levels. The Brody School of Medicine and the School of Dental Medicine are governed by separate workload regulations. Refer to the University Policy on Faculty Workload for more information.
2. The individual faculty workload is discussed in Part VIII, Section I - Personnel Policies and Procedures for the Faculty of East Carolina University, East Carolina University Faculty Manual.
3. Course reduction and reassigned time – Faculty members may apply for and be granted course reductions for the relevant period. Faculty who are granted a course reduction, shall be informed in writing by the unit administrator or department chair, including the purpose for the reduction. A faculty member may apply for and receive 100 percent reassigned time for the relevant period, according to the Faculty Scholarly Reassignment Regulation (UNC Policy 300.2.6 - Guidelines on Reassigned Time for Faculty) and upon the recommendation of the faculty member’s department, school, or college personnel committee, the unit administrator and the next higher administrator, and upon the final approval of the appropriate vice chancellor.
4. The summer session, consisting of two summer terms, provides course work equivalent to that of the academic year. No faculty member can be guaranteed a teaching assignment in the summer session; tentative appointments (full time and part time) are made pending enrollment statistics. No faculty member on a nine-month contract will be assigned to more than one summer term in a session except when all faculty (including fixed term faculty) in the unit have had an opportunity to teach one term or in case of curriculum necessity. (FS Resolution #12-37, March 2012)

II. Office Hours for Student Engagement

In addition to teaching, each instructor must maintain at least five weekly office hours that reflect the mode of delivery and timing of the courses taught to be available to students and advisees who wish to consult with them. It is strongly recommended that the instructor make themselves available either on campus or virtually at least one hour each day during the workweek. Office hours should be provided for student-instructor engagement that mirror the delivery of the course. Instructors should attempt to schedule office hours that reflect the availability of both the students and the instructor to participate in the office hour interaction. Office hours can also be made by appointment in cases where a student cannot attend the posted times. In situations where an instructor’s course and service load do not necessitate the minimum weekly office hour requirement, the instructor may maintain less than five hours concomitant with their service and teaching load if approved by the unit administrator.

For face-to-face/in-person courses: Instructors must maintain office hours in a designated location accessible to students for a minimum of five hours during the workweek to be available to counsel students. If the instructor chooses, and if approved by the unit administrator, a portion of the office hour requirement may be provided virtually via a university-approved meeting software platform.

For online courses: instructors must establish a time frame of a minimum of five hours during the workweek in which they are available to interact with students who wish to consult with them. Office hours for strictly online courses must be held via a university-approved meeting software platform.

For hybrid online/face-to-face courses or for instructors with a combination of online and face-to-face courses: Instructors must maintain five weekly office hours to interact with students that reflect the mode of delivery, timing, and proportion of the types of courses taught.

Each Instructor is to submit to the unit administrator a schedule of their office hours and the unit administrator is to have a complete schedule of the office hours of all Instructors of the unit. The office hour availability schedule is to be posted in the course syllabus, on the Instructor’s office door, and/or on the online course website.

Official communication between students and instructors is via ECU email. Instructors should reply to student emails within 48 hours if received during the normal workweek (M-F) or within 72 hours if emails are received during a non-workday (weekends, holidays), or if the instructor is away from the office on university-related business. In cases where the instructor has limited access to or cannot access email, an automated email reply stating this information should be utilized. In those situations, the instructor should respond to student inquiries when their schedule permits.

III. Faculty Academic Advising: Undergraduate and Graduate

Academic advising is a primary responsibility of faculty which is integral to student success. Student and faculty interaction outside the classroom is associated with greater student engagement and learning. The important contributions of faculty academic advising should be recognized at all levels of the university.

The academic advising process provides the opportunity for faculty members to influence students' approach to the learning experience and better understand the Liberal Arts Foundations, the major discipline, and related careers.

In those academic units in which faculty are assigned undergraduate academic advising faculty members are expected to meet these responsibilities by:

• Being familiar with the undergraduate catalog, knowing the foundation curriculum requirements and the requirements of the majors in their unit.
• Making advising readily available during the semester.
• Encouraging student decision-making and responsibility for their educational progress.
• Discussing the rationale and integration of the liberal arts foundations with the coursework and experiences in the major and minor field of study.
• Assisting the student in identifying and pursuing educational goals and objectives and in securing information about career opportunities.
• Promoting major-related student organizations, including interest, service, honorary, and professional organizations as available.
• Working closely with students on senior summaries to assure their accuracy.
• Making appropriate referrals to other university resources when necessary to assist the student.
• Maintaining files and notes on student progress. (FS Resolution #10-64, April 2010)

Graduate Advising

Advising for graduate students involves both mentoring and teaching. Faculty members who advise graduate students are expected to meet these responsibilities by:

• Being familiar with the graduate catalog and university policies that affect graduate students.
• Modeling and maintaining professional and ethical standards of conduct.
• Making advising readily available during the semester.
• Clarifying program requirements.
• Setting clear goals and reasonable expectations for student progress.
• Providing intellectual guidance in support of students’ scholarly/creative activities.
• Proactively addressing student problems and issues.
• Promoting student participation in professional organizations and conferences.
• Assisting students in developing a realistic view of the field and the job market following graduation.
• Making appropriate referrals to other university resources when necessary to assist the student.
• Maintaining appropriate files and notes on student progress.
• Filing the graduation summary documents.

Note: The faculty member who is the department graduate advisor and has the role expressed above may be different than the thesis/internship/dissertation advisor who has the responsibility of directing the research and writing of the thesis, internship report, or dissertation. (Approved, Graduate School Administrative Board, April 26, 2010) (FS Resolution #10-70, September 2010)

IV. Ordering Textbooks and Collateral Material

All items, including textbooks and supplies, that the students are expected to purchase should be requisitioned each semester in a format provided by the Dowdy Student Stores. Book requisitions received on the requested due dates allow the store time to prepare buy back lists used in purchasing from the students any book that they no longer need. This helps the students to keep the total costs of textbooks down as much as possible.

In a cooperative arrangement the Dowdy Student Stores provides an instructor publishing service for supplemental course materials. The store provides quality academic course materials that are sold alongside the textbooks for the course. The course pack department of the store will obtain copyright permission, process orders, and calculate and collect royalties. This service is provided at no charge to your department. A complimentary desk copy of their course pack is available to the instructors upon request.

Unit administrators or their designees will inform instructors when textbook and course supply orders are due. Instructors submit a requisition for each course providing the information needed to order the necessary books and supplies. If no textbook is required for a course this should be so noted. Unit administrators should retain a copy of the requisitions in each departmental office for future reference.

When special instructional materials (e.g., magazines, field-related supplies, etc.) are required for a course, the Institutional Trust Funds Office within the Division of Administration and Finance should be contacted in order to provide guidance regarding the special course fee process and whether these services can be provided by the Dowdy Student Stores. (FS Resolution #11-47, March 2011)

V. Course Expectations and Requirements

High expectations for student achievement are important for a high quality education and allow students to optimally benefit from their educational experience at East Carolina University. Further, having students clearly understand course expectations is crucial for their successfully completing a course, which in turn affects student retention. The course syllabus informs students of the expectations and requirements of the course and reduces the likelihood of problems later in the semester. The syllabus is a tool that helps both faculty and students accomplish the university’s primary mission of teaching and learning. Faculty members are required to make a course syllabus available for students on or by the first day of each course.

For standard courses, whether delivery is regular face-to-face, online, or mixed, a course syllabus is required to clearly state the instructor’s office location, office phone, email, office hours, a statement on continuity of instruction, and a contingency plan. Examples of syllabus language can be found at Instructional Continuity and Contingency Planning. The syllabus is also required to list the instructor’s policy on the following: textbook(s) and other required course materials, student learning outcomes, assignments and tests, evaluation system and grading scale, late work, academic integrity, and accommodations for students with a disability. Further, it is recommended that faculty members include in the syllabus a course description and a statement on attendance expectations. (FS Resolution #20-82, December 2020)

For non-standard courses, including Independent Study Courses, regardless of delivery method, a learning contract must be submitted for the approval of the unit administrator. The learning contract must clearly specify the course requirements, including but not limited to the expected student learning outcomes, number of hours of expected work, grading information, and scheduled meeting times with the faculty member.

For campus resources for students with disabilities, contact the Department for Disability Support Services. For definitions of academic integrity and procedures for dealing with infractions, see Part VI, Section II of the East Carolina University Faculty Manual and the Office of Student Rights and Responsibilities. Faculty members can also contact the Equal Opportunity and Title IX Office in the Department of People Operations, Success, and Opportunity for policies on equal opportunity and nondiscrimination. The University Writing Program can be contacted for consultation and support of writing activities and guidelines for writing-intensive courses. The Office for Faculty Excellence can provide assistance with the syllabus.

It is the responsibility of each unit administrator to have copies of syllabi and learning contracts for all courses taught in the school or department (FS Resolution #10-08, February 2010; FS Resolution #15-40, March 2015; FS Resolution #17-48, May 2017).

VI. Tests and Examinations

Performance on tests, quizzes, and examinations are one important indicator of student learning. Instructors should clearly describe the procedures and schedule for tests and quizzes on the course syllabus. Students who are absent from intermediate tests and quizzes with an excuse acceptable to the instructor may be given a make-up test or an excuse from taking the test at the discretion of the instructor. (FS Resolution #10-08, February 2010)

VII. Final Examinations

The normal expectation is that the completion of both face to face and online courses will include a final examination or an alternate method of evaluating student progress. Final examinations are required at the discretion of the faculty member and must be scheduled in the course syllabus made available to students. When a final examination or alternate method of evaluation is given, it is expected to begin for all students shortly after the beginning of the scheduled final examination period, and all students shall have the full scheduled period to complete the evaluation. Students arriving late may be turned away, but only if other students have left the room, and only if this policy is indicated on the course syllabus. If a final examination is not given during the final examination period, the scheduled time for the exam must be used for appropriate instructional activity. Online courses that do not give a final exam must use the final exam week for instructional purposes. The chair of the unit is responsible for monitoring adherence to scheduled examination requirements.

The University establishes a final examination schedule each semester to reduce conflicts in course final examination and to meet the UNC established course hour requirements. There will be no departure from the schedule officially published as part of the ECU Academic Calendar except for clinical and non-traditional class schedules, including graduate level courses. Changes for individual student emergencies of a serious nature will be made only with the approval of the instructor. An incomplete (I) for the course will only be given in the case of a student absent from the final examination who has presented a satisfactory excuse to the instructor.

No test serving as a final exam may be given during regular class meetings. Faculty may not give an examination or an assignment in lieu of an examination on Reading Day. (FS Resolution #11-51, April 2011; FS Resolution #18-46, May 2018; FS Resolution #19-79, December 2019)

VIII. Grades

A. Grades and Grading

Instructors assign grades on the basis of their evaluation of the academic performance of each student enrolled in their courses. Course grades are based on the quality of the student’s performance as evaluated by the performance criteria stated in the course syllabus. Instructors for a course shall not use ad hoc contracted or outsourced companies or personnel to grade materials assigned in a course unless obtaining prior approval from the unit administrator.
(FS Resolution #10-08, February 2010; FS Resolution #20-31, April 2020)

B. Posting Grades

In compliance with the Family Educational Rights and Privacy Act, faculty must not post grades by Social Security Number, Banner ID, any sequential part thereof, or any other personally identifiable characteristic. (FS Resolution #10-08, February 2010)

C. Recording of Grades

Near the end of the semester, the University Registrar's Office sends procedural instructions to members of the teaching faculty for the posting of grades. Faculty members must submit grades electronically no later than the deadline established by the registrar’s office. Instructors who fail to submit grades will be subject to the procedures outlined in Consequences for Faculty Who Fail to Submit Grades. (FS Resolution #13-11, January 2013)

D. Change of Grade

Grades cannot be changed after they are officially reported unless the change is initiated by the instructor and recorded by the university registrar. Except from grade changes arising from the grade appeal process no change may occur unless the instructor who gave the grade initiates the formal process of a retroactive grade change. A change in grade, other than removing a grade of Incomplete (I), for any reason, must be made within one year from the date the original grade was received. Forms for change of grade are available in school or departmental offices. (FS Resolution #10-08, February 2010)

E. Grade of Incomplete

If a student encounters a situation that negatively impacts their ability to complete work assigned in a class (i.e., prolonged and serious illness, injury, family tragedy), but their work up to that point was satisfactory as deemed by the instructor, a grade of Incomplete (“I”) may be assigned. A grade of “I” indicates that the completion of some part of the work for the course has been deferred.

Both instructor and student must document the agreement prior to the posting of an “I.” It should not be assigned without approval by both parties. Documentation shall include deadlines of remaining assignments for “I” removal. In situations where an “I” can be assigned, but the student is not contacted regarding this grade possibility or declines its option, the instructor will assign the grade earned by the student considering the work completed up to the point of interruption.

A grade of “I” must be replaced by an actual letter grade by the instructor during the next semester (not counting summer session) in which the student is enrolled in the university or it automatically becomes an F. The instructor will set a date for the removal of the incomplete, in no case later than three weeks prior to deadline as posted on the academic calendar. Instructors must submit the proper change of grade form to the registrar's office via Banner Self Service at least two weeks prior to the end of the semester. If the student does not return to school, the “I” must be removed within one year or it automatically becomes an F. An “I” may not be removed by repeating the course. If a student enrolls in a course in which they have an “I”, the “I” will automatically become an F. No student will be allowed to graduate with an incomplete on their record.

In the event that the student completes assigned work to remove the “I”, but the instructor becomes unavailable or cannot be contacted, the unit administrator or designee will use available records including the syllabus on record to determine the appropriate grade change and submit it to the University Registrar.

Certain sequence courses, such as thesis research, may require the completion of the entire sequence before any grade other than “I” may be given for the earlier component.

F. Grade Appeal Policy

I. Purpose

This grade appeal policy establishes a process by which undergraduate students can contest a course grade that they believe has been awarded in a manner inconsistent with university policies or that has resulted from calculation errors on the part of the instructor. All parties involved in a disagreement over the assignment of grades are expected to engage the process in good faith.

It is critical that students, faculty members, and administrators diligently monitor the grade entry deadline each academic period and be prepared to resolve issues related thereto swiftly since graduation, participation in internships, eligibility for scholarships, and the like, may be at stake. Through careful attention and organization on the part of all parties, ECU’s mechanism for processing grade appeals can facilitate timely resolution while respecting rights and interests of faculty and students. Timeliness not only better prevents negative impacts of alleged grading errors but also allows faculty members to satisfy their responsibility and retain, if they wish, purview throughout the appeal process.

Accurate and appropriate record keeping is also critical to fair and swift resolution of disputes involving grades. According to the Records Retention and Disposition Schedule for the Institutions of the University of North Carolina System, Standard 12.21, academic materials and record documenting examinations, tests, term papers, and other course work completed by but not returned to the student are to be retained for at least one year, or until challenges are resolved. Standard 12.16 applies to “Records documenting grades assigned by instructors to students enrolled in courses.” Such records are to be destroyed in office “3 years after recorded on student’s permanent transcript record.”

II. Statement of Grade Appeal; Jurisdiction for Grade Appeals

The evaluation of student performance is based upon the professional judgment of instructors. The grade assigned by the instructor is assumed to be correct and the student appealing the grade must justify the need for a change of the grade assigned.

To prevail in a grade appeal under this policy, the student has the burden of showing at least one of the following:

1. An error was made in grade computation;
2. Standards different from those established in written department, school, college, or university policies, if specific policies exist, were used in assigning the grade;
3. The instructor departed substantially from instructor’s previously articulated, written standards, without notifying students, in determining the grade; or
4. Grade assigned was arbitrary or capricious based on the information in the record.

If a student’s concern does not relate to the assignment of grades under any of the above claims, other policies collected on the Dean of Students' site on Complaints and Grievances may provide an opportunity for addressing student concerns.

III. Grade Appeal Process

A grade appeal must be initiated within 48 hours following the “Grades Due” deadline in the academic calendar. A grade appeal is initiated when the student requests that the faculty member review the assigned grade by sending a request in writing by email from their university email account to the university email account of the faculty member and the unit administrator (i.e., department chair, school director) of the unit offering the course. Failure to do so will be considered a forfeiture of the student’s right to pursue a grade appeal.

The grade appeal policy is structured so that the instructor will make a determination as to whether they will meet the timeline for responses and actively participate in the grade appeal resolution processes specified below. If the instructor determines they will not participate, because of travel plans, the conclusion of their contract, or other reasons, their unit administrator will act on their behalf. Instructors that determine that they will not be available to address the grade appeal per this policy must inform their unit administrator within 24 hours of receiving the student’s appeal so the unit administrator can perform the role of instructor. To be considered, relevant material should be provided to the unit administrator as close to that 24 hour window as possible.

If the instructor is nonresponsive, the unit administrator will act in lieu of the instructor of record for the purpose of grade appeals.

In any case that the unit administrator is acting in lieu of the instructor, access to the grade book will be granted for the appeal in accordance with Senate Resolution #21-62 and the unit administrator will apprise all parties of the final resolution to the appeal.

Step 1. Meeting between Student and Instructor

The first step to resolve differences between an instructor and student concerning a grade involves a virtual or face-to-face meeting between the parties not later than 96 hours after the “Grades Due” deadline. During the meeting, the student shall be provided the opportunity to state their position and provide evidence to support the grade appeal. Many cases can be resolved at this stage by mutual listening.

When the unit administrator is acting in lieu of the instructor, it may take some time to become acquainted with the record, thus, the initial meeting with the student may occur at any time within the first seven days following the “Grades Due” deadline. In these cases, the unit administrator will designate a member of the unit with an administrative role to serve as unit administrator for the purpose of the grade appeal. In these cases, the unit administrator will designate a member of the unit with an administrative role to serve as unit administrator for the purpose of the grade appeal.

If the unit administrator is the originally assigned instructor for the course, the dean’s designee (i.e., a member of the dean’s staff assigned to grade appeals) will appoint an individual with administrative role (program director, assistant/associate dean, etc.) to act in lieu of the unit administrator for purposes of these procedures.

Step 2. Consultation with Unit Administrator

1. Written Statement of Appeal. If the instructor and student cannot resolve the appeal, and the student wishes to pursue the matter further, a written appeal must be presented to the unit administrator (or the person serving in lieu of the unit administrator) in which the course is offered by the end of ten days (240 hours) from the time of the “Grades Due” deadline. The written grade appeal must include the following:
   1. A statement addressing how the appeal meets one or more of the four standards necessary for a grade appeal.
   2. A description of the outcome of the initial discussion with the instructor, and a statement of what the student considers a fair resolution.
   3. Any relevant materials the student would like to be reviewed as part of the appeal process.
   4. A copy of the course syllabus and assignment descriptions.
2. Review of Appeal Materials. Following submission of the grade appeal by the student, the unit administrator (or the person serving in lieu of the unit administrator) may request additional materials from the student or instructor. The unit administrator (or the person serving in lieu of the unit administrator) shall share all materials with the instructor immediately upon receipt to provide the instructor the opportunity to evaluate and respond. Additional grading information may be requested from the instructor as part of the record of the grade appeal.
3. Instructor’s Decision. After receiving a copy of the appeal materials from the unit administrator (or the person serving in lieu of the unit administrator), the instructor must convey their decision in writing to the unit administrator (or the person serving in lieu of the unit administrator) within seven calendar days. The unit administrator (or the person serving in lieu of the unit administrator) will discuss this response with the instructor and will provide the student with written notification of the outcome of this step within 48 hours of receiving the instructor’s response. In the event that the instructor does not submit a response to the unit administrator (or the person serving in lieu of the unit administrator), does not provide grades or other material relevant to the appeal, or otherwise declines to participate at any point in the process, the appeal will be presented to the Grade Appeal Committee for resolution.

Step. 3. Appeal to Grade Appeal Committee

1. Statement of Appeal. If after the review of the written notification of the outcome from the unit administrator (or the person serving in lieu of the unit administrator) the student wishes to pursue the matter further, the student must submit the appeal record to the dean’s designee within seven calendar days so it can be conveyed to the committee.
2. The dean’s designee will form a three-member hearing committee that shall include three faculty members from the college: one selected by the student, one selected by the instructor of record (or the unit administrator acting in lieu of the instructor of record), and one appointed by the college dean. In order to adhere to the required timeline, colleges will need to establish or maintain a list of faculty members willing to make themselves available for the process. A hearing will be held within one week. Prior to the hearing, the members of the committee will meet and elect a hearing committee chair who will preside over the hearing and facilitate the drafting and submission of the recommendation. The dean’s designee will be available to the hearing committee as a resource.
3. Grade Appeal Committee Hearing. The committee members shall be furnished with all relevant materials in the case under consideration as soon as the committee is formed. The hearing, which may be virtual or face-to-face, will be attended by the student, the instructor, the committee, and the dean’s designee. The student and the faculty member will each state their view of the situation, provide documentation, and respond to questions from the committee, the dean’s designee, and each other, as appropriate.
4. Deliberation of the Committee. The function of the Grade Appeal Committee shall be to evaluate the appeal in terms of the stated grounds for the appeal. A majority shall prevail in the committee. The dean’s designee does not have a vote.
5. Committee Recommendation. The committee shall present a written recommendation to the dean (or substitute, different from the dean’s designee). The committee’s recommendation may be to make no change to the assigned grade or to raise the assigned grade, but in no case shall the committee recommend a reduction in the student’s grade. The committee shall provide a written justification of its recommendation to the college dean, including minority opinions (when they exist), no later than seven calendar days after the committee’s hearing.
6. Final Decision by Dean. The college dean shall make the final decision on the grade appeal following receipt of the recommendation from the Grade Appeal Committee. The dean shall inform both the student and the instructor of the decision, in writing, within seven calendar days. Th dean shall also inform the student and instructor of the committee’s recommendation and provide both parties with copies of the committee report.
7. Updating the Academic Record (if applicable). In the case of a change of grade, the dean shall implement the change of grade on the student’s official transcript through the change of grade procedure within 3 days of receiving the Grade Appeal Committee’s Recommendation.
8. Notification to Other Parties. The college dean shall forward a written record of the results of all grade appeals to the appropriate Vice Chancellor within fourteen calendar days. College deans shall also provide an annual summary to the Faculty Senate of the number of cases heard and the aggregate result of the process.

Hours/days of Grades Due Deadline	Description
48 hours (2 days) of Grades Due deadline	Deadline for student to appeal to instructor in writing, copying unit administrator
24 hours (1 day) of instructor’s receipt of appeal	Optional: Deadline for the instructor to notify unit administrator (or the person serving in lieu of the unit administrator) if the instructor will be unavailable to address the grade appeal and turn over relevant material
96 hours (4 days) of Grades Due deadline	Deadline for meeting between student and instructor/person acting in lieu of instructor
168 hours (7 days) of Grades Due deadline	Optional: Deadline for student and unit administrator to meet if the unit administrator acts in lieu of the instructor
240 hours (10 days) of Grades due deadline	Deadline for student to decide if they will continue the appeal
408 hours (17 days) of Grades due deadline	Deadline for instructor to render decision to unit administrator (or the person serving in lieu of the unit administrator)
456 hours (19 days) of Grades Due deadline	Deadline for unit administrator (or the person serving in lieu of the unit administrator) to discuss response with instructor and to convey the instructor’s response to the student.
168 hours (7 days) from receipt of instructor’s decision	Deadline for student to submit an appeal of the instructor’s decision to the unit administrator (or the person serving in lieu of the unit administrator)
168 hours (7 days) from receipt of student’s appeal	Deadline for hearing
168 hours (7 days) from hearing	Deadline for submission of committee’s recommendation
168 hours (7 days) from receipt of recommendation	Deadline for dean to notify the student and instructor of final decision

IX. Academic Progress

Instructors should ensure that each student has received some indication of his or her standing
in the course prior to the last day to drop a course without grades. While it is understood that the procedures used to measure course objectives may differ between disciplines, instructors, particularly those of 1000- and 2000-level courses, should provide their students with the results of some form of graded response (e.g., tests, term papers) prior to the last day to drop. A student should be able to discuss progress in class with the instructor any time in the semester.

Faculty members must report to the appropriate university office the unsatisfactory standing of first year undergraduate students whose work or attendance is poor at the middle of the semester. Instructions for reporting unsatisfactory progress are sent via email each semester to the faculty. (FS Resolution #10-08, February 2010)

X. Class Attendance and Participation Regulations

A student’s participation in the work of a course is a precondition for receiving credit for the course. Students are expected to attend punctually all lecture and laboratory sessions and field experiences and to participate in course assignments and activities as described in the course syllabus. Absences are counted from the first class meeting after the student registers. Students registering late are expected to make up all missed assignments in a manner determined by the instructor.

Each instructor shall determine the class attendance policy for each of his or her courses as long as the instructor’s policy does not conflict with university policy. The instructor’s attendance policy, along with other course requirements, will be provided to the class on a syllabus distributed at the first class meeting. Class attendance may be a criterion in determining a student’s final grade in the course if the instructor provides a written statement to this effect in the course syllabus. In determining the number of unexcused absences which will be accepted, the instructor should consider carefully the nature of the course, the maturity level of the students enrolled, and the consequent degree of flexibility included in the instructor's policy.

Students should consult with their instructors about all class absences. It is the responsibility of the student to notify the instructor immediately about class absences, to provide appropriate documentation for an absence, and discuss any missed class time, tests, or assignments. Except in university-excused absence (UEA) situations where the correct timeline policy has been followed (see below), it is the decision of the instructor to excuse an absence or to allow for any additional time to make up missed tests or assignments. Excused absences should not lower a student’s course grade, provided that the student, in a manner determined by the instructor, is able to make up the work that has been missed and is maintaining satisfactory progress in the course.

Medical Absences

Short-term illnesses and other medical conditions are not eligible for a university excused absence. Based on syllabus language and departmental policy, instructors should use their discretion to honor written medical excuses from a licensed health practitioner that states that student was too ill or injured to attend class and provides the specific date(s) for which the student was unable to attend class due to the medical problem. Student Health Services does not issue official UEAs for illness or injury, but will, upon request at the time of the visit, provide a note confirming that the student has received medical care. In the event that the student is seriously ill or injured at the time of final examinations, they may work with the DOS office to discuss an incomplete or other options.

For chronic medical conditions or short-term injuries which do not require hospitalization, but may impact student course performance, students may work with ECU Disability Support Services (DSS) to help coordinate appropriate accommodations in the class with the participation of the course instructor. In each case, DSS must have documentation in order to verify the circumstance, take action, and advocate on behalf of the student. Each request is determined on an individual basis collaboratively between the student, the instructor, and with a review of the documentation provided.

University-Excused Absences

The Dean of Students may authorize university-excused absences in the following situations:

Type 1 – Pre-planned Activities:

1. Student participation in authorized activities as an official representative of the university (i.e. athletic events including both varsity and ECU sanctioned club activities, delegate to regional or national meetings or conferences, participation in university-sponsored performances).
2. Participation in non-emergency situation required military training.
3. Student participation in religious holidays.
4. A subpoena or summons requiring them to appear in court.

Type 2 – Emergency or Unexpected Circumstances:

5. Emergency military-related duties.
6. Hospitalization.
7. The death of an immediate family member (such as, but not limited to, parent, sibling, spouse, or child).

For Type 1 absences, the student must notify the affected instructor(s) of the upcoming UEA as soon as they are made aware that a course session will be missed, but no later than two (2) weeks before the date(s) of the UEA. In cases where a 2-week notice cannot possibly be given (e.g., the first day of class for a UEA within a 2-week time window), the student shall inform the instructor of the UEA as soon as they enroll in the class or during the first class session meeting.

Notification at this stage may be informal, but may include verbal or written (i.e., email) communication between student and instructor informing the latter of the UEA and course dates to be missed. If applicable, the instructor may request informal written confirmation of the upcoming UEA from the faculty leader/officer in charge/coach who will be responsible for the group during the course session absence. This notification lead time is important so that any appropriate adjustments for missed coursework can be made by the instructor if necessary. Instructors may choose to not offer alternative arrangements for any missed work if they student did not provide proper lead time notification for a Type 1 UEA. In non-emergency (Type 1) UEA situations where the UEA was not appropriately communicated by the faculty in charge to students that results in students not being able to inform affected instructors with proper lead time, affected instructors may choose to not honor the UEA.

For Type 2 absences, the student shall inform the instructor(s) of the affected course(s) that they will miss a session(s) as soon as they are made aware that they will be missed. Because of the unexpected nature of the absence, no lead time notification is necessary, and instructors are expected to make any necessary arrangements for the coursework that the student may have missed.

For all UEAs, it is the student’s responsibility to obtain official verification of a UEA by contacting the Dean of Students as soon as they are made aware that they will be absent from a class meeting. Official notification from the Dean of Students documenting the UEA will often be delivered to instructors after the absence occurs.

The student initiates the UEA by following the procedure outlined by the Dean of Students office on their website. Faculty mentors should inform their students of these procedures to initiate the UEA process with enough lead time so that affected instructors can be made aware of the UEA. These UEA requests should be submitted according to the procedures and timeline established by the Dean of Students. Requests submitted after the fact will be disapproved unless circumstances make prior approval impossible.

Provided that the proper lead time notification was given by the students for Type 1 UEAs, instructors are expected to honor all (both Type 1 and Type 2) valid university-excused absences, and to provide reasonable and equitable means for students to make up work missed as a result of those absences. Students who anticipate missing 10% or more of class meeting time as a result of UEAs are required to receive approval from the instructor at the beginning of the semester. Student experiences that cannot be made up should be discussed at the onset of the course to ensure that continued enrollment is feasible while there is still the opportunity to drop the course within the schedule change period.

No instructor should urge a student to take part in an extracurricular activity at the expense of the student’s class work or expect the student to appear at any practice or rehearsal if they have a scheduled class at that time. No class absences will be excused for practices or rehearsals. Only absences for performances and necessary travel to and from performances are excused.

A student who believes that they have been treated unfairly concerning absences or has been misinformed by the instructor regarding that instructor’s absence policy shall have the right to appeal. The appeal shall be in writing to the instructor’s department chairperson or school director, and in the event the resolution is not satisfactory, the final decision rests with the academic dean. (FS Resolution #12-62, April 2012; FS Resolution #17-79, December 2017)

XI. Class Roll Verification

Twice each semester—once near the beginning of the term (prior to census day) and once near the mid-point of the term—the registrar contacts each instructor in order to verify student enrollment in that instructor’s classes. At the beginning of the term, the purpose of the verification is to ensure the accuracy of the lists of properly registered students. At the mid-point of the term, the purpose of the verification is to identify any students who are no longer attending class. In the event that a faculty member teaches a course in which attendance is not regularly taken, they should note any students who have ceased participating and submitting work. Specific instructions for responding to the registrar will accompany the requests for class enrollment verification and should be followed carefully. Due to the significant impact students’ enrollment status can have on their financial aid eligibility, the amount of financial aid the university is allowed to disburse, and the amount of financial aid the university is required to return, timely faculty response to class enrollment verification requests is essential. (FS Resolution #10-10, February 2010)

XII. Use of Copyrighted Works

A. Appropriate Use of Copyrighted Works

The Copyright Act of 1976, as amended (Title 17, U.S. Code), generally protects certain rights and privileges of the copyright owner to exclude others from the right to reproduce and publicly distribute, display or perform a work, as well as revise or prepare a derivative work based upon a copyrighted work, without obtaining permission from the copyright owner. As an institution devoted to the creation, discovery and dissemination of knowledge, the University supports the responsible, good faith exercise of full fair use rights contained in the Copyright Act.

B. Fair Use

The “fair use doctrine” of the Copyright Act allows certain statutory exemptions applicable to academia, recognizing the fundamental non-profit mission of universities to advance and disseminate knowledge for public benefit. Section 107 of the Copyright Act specifies that these exemptions exist “for purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research” and requires that a person evaluate four statutory factors to determine whether a proposed use is fair. If the desired use cannot be determined as “fair”, faculty members must request permission from the copyright holder or select an alternative work.

1. Elements of Fair Use
   Individuals from the University community who wish to make fair use of a copyright work must consider in advance the four statutory factors:
   1. Purpose and Character of the Use
      The purpose and character of the use, including whether such use is for commercial or non-profit educational purposes.
   2. Nature of the Work
      The characteristics of the work being used, including whether it has been previously published and whether it is factual or fictional.
   3. Amount of Work to be Used
      The amount, substantiality and qualitative nature of the portion used in relation to the entire copyrighted work.
   4. Effect on the Market
      The effect of the use on the potential market for or value of the work.
2. Support for Making Fair Use Determinations

The University’s Copyright Committee, together with the Copyright Officer, shall identify educational needs of University faculty, EPA non-faculty employees, SPA staff employees, and students in complying with copyright law, including application of fair use. The Chancellor shall also maintain copyright and fair use resources at the ECU libraries. The Copyright Officer shall develop tools, resources, and training and education materials for use by the campus community and shall coordinate workshops, conferences, seminars, and other similar activities on copyright. Faculty are encouraged to review materials on the ECU Copyright website, attend events scheduled through the Office for Faculty Excellence, and contact the ECU Copyright Officer with any questions they may have. (FS Resolution #12-38, March 2012 and FS Resolution #15-69, May 2015)

XIII. Policy to Remove General Education Credit

Units wishing to remove General Education credit from a course must send a memo to the General Education and Instructional Effectiveness Committee by email attachment stating the requested action and a list of the courses for which General Education credit should be removed. The list should include the name of the person requesting the action, and the prefix, number, and name of the course. If the course is cross-listed with another unit or is otherwise a cognate in another unit, a letter of approval from the cognate department must be submitted with the request to remove General Education credit. The General Education and Instructional Effectiveness Committee will consider the request for approval.

Additional information available at: General Education and Instructional Effectiveness Committee page. (FS Resolution #11-15, February 2011, editorially revised July 2021)

Part VI, Section II: Summary of Academic Integrity Violation (AIV) Regulations and Procedures at East Carolina University

Important Sites/Links
ECU PRR manual links
ECU Regulation on Academic Integrity
ECU Procedure to Initiate AIV Proceedings
Office of Student Rights and Responsibilities - AIV Information
FERPA waiver consent form
Sample notification email
Link to submit AIV information to OSRR

The AIV process at ECU involves an instructor, student(s), and the Office of Student Rights and Responsibilities (OSRR). The full ECU REG02.07.11 University Regulation on Academic Integrity is housed in the University Policy Manual. The purpose of the information provided here is to provide a general outline to guide the instructor through the AIV process and summarize the regulation contents, but instructors should be aware of all aspects of the regulation.

First, should a suspected AIV arise in their classroom, the instructor should be aware of their rights as well as those of the student. These are listed below:

Student Rights:

1. The right to a fair, impartial and efficient process and evaluation of the complaint.
2. The right to be present at the meeting with the instructor of record and during the Academic Integrity Board (AIB) meeting if applicable.
3. The right to reasonable access to all relevant information gathered throughout the investigation pertinent to the alleged violation.
4. The right to respond to information presented against the student. This may include presenting information relevant to the alleged violation and/or to invite witnesses.
5. The right to provide information throughout the process. The University will make a determination with or without the student’s information. The University will not imply that a student failing to provide information means that the student is withholding incriminating information.
6. The right to a separate meeting with a faculty member or individual AIB hearing in cases involving multiple students. Charges against multiple students may be heard a single hearing only if each student consents.
7. The right to review the decision, after receiving written notice of the outcome, and to appeal as outlined in the PRR.
8. The right to be presumed not responsible until proven responsible, and to plead not responsible without fear that the plea itself (as distinct from any unrelated lies or misrepresentations) may give rise to a charge of lying should the student be found guilty of committing an AIV.
9. The right to be assisted in their written appeal by a licensed attorney or non-attorney advocate at the student’s expense.

Instructor Rights:

1. The right to have a non-participating observer present at the initial meeting (see below), subject to FERPA compliance.
2. The right to invite relevant witnesses with knowledge of the alleged AIV.
3. The right to submit a written statement.
4. The right, after receiving the written notice of the outcome, to review the decision if permitted under ECU policies, University of North Carolina System policies, and local, state, and federal laws.
5. The right to submit a written statement or additional information. This includes the right to submit material even after referral to the AIAB.

In addition to these rights, the main components of the regulation are as follows, and can be found in their entirety in the University Regulation on Academic Integrity:

• Scope and overview of Academic Integrity regulation
• Definitions of Academic Integrity Violations (AIVs)
• Definitions of committees involved in the AIV process
• A listing of student and instructor rights and responsibilities
• Due process standards
• Summary and construction of the different academic integrity review committees involved in the AIV process
• Additional considerations involved in AIV reporting
  • Withdrawal from course
  • Involvement of multiple students
  • Scenarios involving students outside of class in question or situations where class is not in session
  • Graduate and professional school students
• Possible sanctions
• Process for appeals

The full procedure to initiate the AIV Process can be found in Appendix A: Academic Integrity Process and Procedures (PDF). Please note, beyond the standard procedure to follow to initiate the AIV process, instructors should be aware of any program specific regulations that must be followed. Please consult the specific program code for any AIV specific information before consulting the University regulation steps below.

The general ECU AIV procedure is summarized in this flowchart from OSRR and as follows:

• Instructor becomes aware of a potential AIV by student.
• Within ten (10) days of discovering the AIV, instructor notifies student by email of the suspected AIV. The notification should list the following (Office of Student Rights and Responsibilities (OSRR) provides a sample email):
  • Specific allegation of AIV
  • A brief description of the evidence of the AIV
  • A time and a place to meet to discuss the AIV
  • Possible sanctions should the student be found responsible
  • Appropriate contact information
  • A link to the ECU AIV Regulation as well as the AIV Procedures document
• Student needs to respond within ten (10) calendar days to acknowledge the notification and agree to a meeting with the instructor (instructor meeting). If the student doesn’t respond, the AIV form can be submitted to OSRR (see below).
• The instructor meeting is where evidence is presented, and the student can explain the circumstances involved in the suspected AIV. A template for conducting the meeting is available.
  • Both parties are allowed to have a non-participating observer present.
  • FERPA waivers need to be signed if necessary.
• The instructor considers the evidence and student information. Within ten (10) calendar days, the instructor informs the student of the outcome of the meeting.
  • Student responsible: Instructor fills out OSRR form summarizing the evidence and meeting outcome and indicates a sanction commensurate with the violation. Possible sanctions are summarized in REG02.07.11 University Regulation on Academic Integrity.
  • Student not responsible: Instructor informs the student, but no other information is sent to OSRR, and the case is closed.

In cases sent to OSRR, the student has the option to appeal the decision. OSRR will communicate with the faculty member(s) and student(s) regarding the steps involved in the appeal process and additional hearings.

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Originally Approved (entire document): Faculty Senate Resolution #83-26, April 1983
East Carolina University Chancellor

Amended:
FS Resolution #83-30 thru #83-34, April 1983 Chancellor
FS Resolution #84-42, January 1985 Chancellor
FS Resolution #87-16, October 1987 Chancellor
FS Resolution #11-36, June 2011 Chancellor
FS Resolution #20-18, June 2021 Chancellor
FS Resolution #24-41, August 2024 Chancellor

Part VI, Section III: Distance Education Policies

Contents

1. Distance Education Courses and Programs
2. Oversight of Distance Education
3. Courses Delivered by Distance Education
4. Fostering Academic Integrity in Distance Education
5. Instructor Preparation
6. Professional Development Activities for Online Instructors
7. Standards for Online Learning
8. Evaluation of Distance Education

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Distance education is a formal educational process in which the majority (i.e. more than 50%) of instruction (interaction between students and instructors and among students) in a course occurs when students and instructors are not in the same place. Instruction may be synchronous or asynchronous. A distance education course may use Internet; one-way and two-way transmissions through open broadcast, closed circuit, cable, microwave, broadband lines, fiber optics, satellite, or wireless communications devices; audio conferencing; or video cassettes, DVDs, and CD-ROMs if used as part of the distance learning course or program. (The Southern Association of Colleges and Schools Commission on Colleges definition of “distance education”.)

I. Distance Education Courses and Programs

Programs offered via distance education shall be consistent with the mission of East Carolina University and the academic unit offering the courses or programs. There shall be no distinctions in academic rigor or content between programs offered through distance education and those offered on campus. Development of new online programs and courses will follow the same development and approval procedures as face-to-face programs and courses (Part VI). Selection of courses and programs to be offered via distance education is the purview of the offering academic unit. The academic units shall provide oversight of programs and courses delivered via distance education to ensure that each is coherent and complete and has learning outcomes appropriate to the level and rigor of the course or program.

II. Oversight of Distance Education

The Office of the Provost shall ensure that academic units adhere to the distance education policies described in this section. The instructor assumes primary responsibility for ensuring the rigor of programs and the quality of instruction offered through distance education.

III. Courses Delivered by Distance Education

The instructor teaching a distance education course shall have the same control of content and instruction as in face-to-face courses, consistent with university policies on instruction and academic freedom. Proposals for distance educations courses shall be evaluated at the department or school, college and university level. The instructor, unit curriculum committees, and the unit administrator play a significant role in guiding the development and implementation of distance education courses.

Only those proposals demonstrating suitable content and sufficient quality and rigor shall be approved.

Instructors develop syllabi for distance education courses consistent with the ECU Standards for Online Learning. These standards address learning objectives and other things necessary for student success in distance education courses. The structure of distance education courses and programs reflects consideration of the challenges of time management and the risk of attrition for students in these courses. Course design takes into consideration the need for and importance of interaction between instructors and students and among students.

IV. Fostering Academic Integrity in Distance Education

Fostering Academic Integrity in distance education courses, whether they are fully online or hybrid, poses new challenges in maintaining academic integrity for both faculty and students. Specifically, the ease of access provides students the ability to access the work of others without providing appropriate attribution or to search for an exam answer during a closed-book assessment. It is our shared responsibility to provide students with clear, unambiguous guidelines regarding the academic unit and university expectations for ethical behavior in the digital environment.

The Fostering Academic Integrity in Distance Education resource document (DOCX) contains information and strategies to foster ethical behavior and academic integrity within online and hybrid courses. It is divided into two sections. The first section lists scenarios that a faculty member teaching an online class may encounter. The second section includes various strategies for effective online content delivery. As you review each section, you are encouraged to incorporate relevant suggestions from previous instructors’ experiences and incorporate their solutions into your course materials.

Faculty using online proctoring tools within their course are required to include syllabus language providing the technical requirements and information detailing data collected.

Example Syllabus Language: This course requires exam proctoring through [Enter Tool Name].

The systems used for verification of student identity and integrity for proctored examinations require the use of webcams, audio, recording of the computer screen and the student, capturing of other identification information such as student ID cards, and the storing of this collected data for review of security and integrity of the examination(s). As part of the exam experience, you may be asked to comply with reasonable proctoring methods, including a scan of computer monitors and the immediate desktop testing area with your webcam. If a live proctor is used and if you are suspected of using unallowed resources, you may be asked to point your webcam in the direction you are looking off camera.

The specific equipment, internet, and software requirements are listed here [Insert Link to Tool Specific Requirements]. For example, [update the text in the example to reflect the specific requirements of the tool you are using in your course] tests cannot be taken on a phone, tablets, Chromebook, or Linux operating systems. Windows 10 or MacOS 10.15 is recommended with 16GB of Ram. Please review the specific details to ensure you can meet the requirements.

Students must complete getting started steps, which will include testing your equipment. These steps must be completed before each exam and are encouraged to be performed early in the semester to avoid system requirement issues. [Insert Details and Links Here]

V. Instructor Preparation

All courses offered via distance education shall be taught by a qualified, credentialed instructor approved and assigned by the unit administrator. Instructor who teach distance education courses and programs shall have the same academic qualifications as instructors who teach face-to-face courses. Each instructor who teaches one or more distance education courses must complete a university training program. Academic units that wish to develop their own training program must use the university training program until their own training program is approved by the appropriate vice chancellor.

Unit administrators are responsible for ensuring that each instructor teaching distance education courses has the appropriate distance education training. All instructors teaching distance education courses will engage in at least one training activity each academic year that addresses advances in the methodologies and technologies used in distance education. Training is documented in the faculty annual report of each instructor teaching one or more distance education courses.

VI. Professional Development Activities for Online Instructors

Each faculty member who teaches one or more distance education courses must complete an initial university training program consisting of online instructional modules. Faculty continuing to teach distance education courses must engage in at least one professional development activity each academic year that addresses advances in the methodologies and technologies used in distance education.

The following all qualify as professional development activity:

• Instructional modules in Cornerstone related to distance education.
• Any of the following activities if it is related to online learning /teaching
  • Attending an external conference session or webinar (e.g. teaching of accounting online at a national accounting conference)
  • Presenting a research paper (e.g. comparison of learning outcomes for course taught face-to-face and online, etc.)
  • Presenting a seminar (in-house or external)
  • Publishing a paper or proceeding or other relevant professional publications
  • Attending a seminar presented by the Office for Faculty Excellence (OFE) or Academic Technologies-ITCS (see examples in attachment) or individual units. To register for OFE or Academic Technologies programs, go to the Office for Faculty Excellence website.
  • Being a finalist for a distance education award (e.g. Max Ray Joyner)

Documentation of the above can include program listings, history of participation, tables of content from program, certificate of completion, etc. Individual units will offer seminars and other programs related to online learning / teaching. As these are announced, they will be distributed via email, posted in cornerstone, and or other means of communication. Documentation will be provided by the presenter(s). Please add it to your records.

If there is a specific seminar or topic or activity that you think may qualify but you are not certain, or if you have questions or require further information, you can complete the below Petition for Alternative Activity to Meet the ECU Distance Education Professional Development. Requirement and submit it to your unit administrator. This form will be placed online once it has been approved by the Chancellor.

Petition for Alternative Activity to meet the ECU Distance Education Professional Development Requirement

(FS Resolution # 19-88, January 2020)

VII. Standards for Online Learning

Distance education courses shall comply with the following ECU Standards for Online Learning.

Course Overview & Introduction

• The syllabus is easy to navigate and follows a consistent format that introduces the course and its structure and states expectations. The syllabus should be available in a downloadable format for offline reference.
• Course instructors introduce themselves.
• An appropriate format (e.g. discussion board) should be used to allow students to introduce themselves to each other and to the instructor.
• Minimum technology hardware, software, and skills required by the student are clearly stated and resources for technology training are listed.
• Prerequisite knowledge is clearly stated.

Learning Objectives

• The learning objectives are clearly stated and describe measurable outcomes.
• The learning objectives address content mastery and critical thinking ability.
• Clear instructions for achieving course objectives and learning outcomes are provided.

Assessment & Measurement

• Evaluation methods measure the achievement of course objectives and learning outcomes and are appropriate for the online learning environment.
• Course evaluation, policies, learner feedback are appropriate for the online learning environment.
• Course instructors should utilize a controlled testing environment as appropriate.

Resources & Materials

• The course instructional materials, resources, and content have sufficient depth and breadth for the student to achieve learning outcomes.
• The course instructional materials, resources, and content are accessible, Americans with Disabilities Act (ADA) compliant, and available in multiple formats when appropriate.
• The course instructor makes students aware of relevant resources and services at the university, college, department, and course level (e.g. library resources, Online Writing Center, and Pirate Academic Success Center).

Learner Interaction

• The course provides opportunities for interaction between the instructor and the student, and among students as appropriate.
• Activities designed to generate student interaction align with course objectives and learning outcomes.
• Clear standards are established for course interactions, instructor response time, and instructor availability (turn-around time for email, grade posting, online office hours, etc.)

Course Technology

• Instructional tools support the learning objectives of the course and are integrated with course material.
• Instructional tools enhance learning activities and guide the student to become a more active learner.
• Instructional tools required for this course are clearly defined and easily attained.

Accountability

• The syllabus or supportive course materials include required statements per the Faculty Manual (Part VI, Section I. Teaching Regulations and Guidelines Related to Faculty).

VIII. Evaluation of Distance Education

Instructors teaching through distance education will be peer reviewed to assure the rigor of programs and the quality of instruction. Instruction in distance education courses shall be evaluated according to the instruction evaluation procedures in effect for face-to-face courses with appropriate additions consistent with the delivery method, including use of the Peer Review Instrument for Asynchronous Courses (DOCX) or an approved Peer Review Instrument developed by the academic unit. Units that wish to develop their own Peer Review Instrument must use the university instrument until their own instrument is approved by the appropriate vice chancellor. Peer reviewers will be selected based on criteria determined by the faculty of the college, school or department.

Student opinion of instruction will be evaluated through an online evaluation specific for distance education courses approved by the Faculty Senate and the chancellor and administered through the Office of Institutional Planning, Assessment and Research.

Each distance education academic degree program shall be assessed in the same manner and the same frequency as the unit's assessment of academic programs offered on campus. The unit administrator shall review assessment results with assigned instructors and the departmental faculty to facilitate the continual enhancement of the unit’s distance education program. (FS Resolution #16-31, May 2016; FS Resolution #18-43, May 2018)

Part VI, Section IV: Student Privacy, Conduct, and Complaints

(Text moved from former Part V)

Contents

1. Student Educational Records
   1. Access to Student Educational Records
   2. Privacy of Student Educational Records
2. Student Conduct
   1. Disruptive Academic Behavior
   2. The Student Code of Conduct
3. Student Privacy, Conduct, and Complaints New section 5-16

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I. Student Educational Records

A. Access to Student Educational Records

The university administers student educational records in accordance with the provisions of the Family Educational Rights and Privacy Act, also known as the Buckley Amendment or FERPA. This regulation provides that the student has a right of access to student educational records maintained by the university or any department or unit within the university, subject to certain exceptions which are outlined in this regulation maintained. This regulation also protects the confidentiality of personally identifiable information in student records. Except to the extent allowed by applicable law, personally identifiable information contained in a student educational record will not be disclosed. A copy of this regulation is maintained by the University Registrar. All members of the campus community should be thoroughly familiar with this regulation and comply with its provisions. (FS Resolution #12-12, January 2012)

B. Privacy of Student Educational Records

The university administers student educational records in accordance with the provisions of the Family Educational Rights and Privacy Act, also known as the Buckley Amendment or FERPA. This regulation provides that the student has a right of access to student educational records maintained by the university or any department or unit within the university, subject to certain exceptions which are outlined in this regulation maintained. This regulation also protects the confidentiality of personally identifiable information in student records. Except to the extent allowed by applicable law, personally identifiable information contained in a student educational record will not be disclosed. A copy of this regulation is maintained by the University Registrar. All members of the campus community should be thoroughly familiar with this regulation and comply with its provisions. (FS Resolution #12-13, January 2012)

II. Student Conduct

A. Disruptive Academic Behavior

East Carolina University is committed to providing each student with a rich, distinctive educational experience. Disruptive academic behavior impedes the learning environment and hinders other students’ learning. The course instructor has original purview over their class and may deny a student who is unduly disruptive the right to attend the class. Students who repeatedly violate reasonable standards of behavior in the classroom or other academic setting may be removed from the course by the instructor following appropriate notice. Students removed from a course under this policy will receive a “drop” according to university policy and are eligible for tuition refund as specified in the current tuition refund policy.

This policy does not restrict the instructor’s prerogative to ask a disruptive student to leave an individual class session where appropriate or to refer the student to the Office of Student Rights and Responsibilities for violation of the Student Code of Conduct.

Disruptive Academic Behavior

Disruptive academic behavior is any behavior likely to substantially or repeatedly interfere with the normal conduct of instructional activities, including meetings with instructors outside of class. Examples of such behavior include, but are not limited to, making loud or distracting noises; using cell phones and other electronic devices without prior approval; repeatedly speaking without being recognized; frequently arriving late or leaving early from class; and making threats or personal insults. A verbal expression of a disagreement with the instructor or other students on an academic subject matter discussed within the course, during times when the instructor permits discussion, is not in itself disruptive academic behavior.

Procedure for Instructors

A student who does not follow reasonable standards of academic decorum should first receive a private verbal warning from the faculty member. The instructor should describe the behavior of concern to the student, explain that it is inappropriate, and ask the student to stop the behavior. If the behavior continues, the instructor should give the student a written warning indicating that the student will be removed from the course if the behavior does not cease. If the behavior persists, the instructor should discuss the situation with their department chair. If it is decided to remove the student from the course then the instructor should schedule a meeting with their department chair and the student to inform the student that they are being removed from the course. This decision must be communicated in writing to the student with a copy promptly forwarded to the Office of Student Rights and Responsibilities. The department chair must promptly communicate the decision in writing to the Office of the Registrar so that the student’s schedule will be adjusted accordingly. Instructors should keep written documentation of all actions taken during this process.

If the behavior is threatening in nature or is likely to result in immediate harm, the faculty member should contact the East Carolina University Police Department for immediate assistance.

Student Appeals

The student may appeal the decision of the instructor and the department chair to remove them from the course to the academic dean of the college in which the course is located. The appeal must be received by the dean, in writing, within three working days of the date of the receipt of the decision by the student. The dean or dean’s designee will review the appeal and the documentation, will discuss the appeal with the faculty member and, after discussion with the student and instructor, can affirm, reverse or modify the decision made by the instructor and department chair. The student, instructor and department chair will be notified of the appeal decision no later than three working days after receiving the appeal. The dean will provide written notification of the appeal decision to the Office of Student Rights and Responsibilities, and also, if the original decision is overturned, to the Registrar’s Office. If the decision is made that the student is to return to the course then the student will be allowed to immediately return to the classroom without academic penalty and the chair will work with the student and instructor to facilitate the completion of any missed work. The dean’s decision is final.

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Footnote * ECU provides reasonable accommodations to students with disabilities. When communicating a warning to a student, faculty should ensure the discussion is private and refer any student who discloses a disability to Disability Support Services. (FS Resolution #11-52, April 2011)

B. The Student Code of Conduct

The Student Code of Conduct and the procedures for its administration and enforcement exist to promote standards of behavior that create a positive environment in which students can learn and live. Instructors should be familiar with the Student Code of Conduct and refer students whose behavior violates community standards and/or disrupts any normal curricular or extracurricular functions of the university to the Office of Student Rights and Responsibilities or the Dean of Students. The Student Code of Conduct applies to on- and off-campus behavior of both individual students and student groups/organizations, and to both undergraduate and graduate students. The Student Conduct Process (REG11.30.01) applies to all ECU students. When appropriate, instructors should follow the steps for addressing Disruptive Academic Behavior in the classroom or other academic settings as outlined in Part VI, Section IV of the East Carolina University Faculty Manual. If student behavior appears threatening or likely to result in immediate physical harm, the faculty member should contact the ECU Police Department.

The University Regulation on Academic Integrity (REG02.07.11) governs student conduct directly related to academic activities involving ECU students. All alleged violations of the regulation must be resolved in accordance with the procedures outlined in the Summary of Academic Integrity Violation (AIV) Regulations and Procedures at East Carolina University as found in Part VI, Section II of the East Carolina University Faculty Manual. (FS Resolution #10-92, December 2010)

III. Student Complaints

East Carolina University (ECU) is committed to maximizing student success and providing the highest quality educational experience. In general, the investments that faculty and students make in assuring this excellence are part of ECU’s academic culture and are carried out in a very positive learning environment. Occasionally and for varied reasons, the experience can be negative. While this is a relatively rare event, ECU will provide a respectful and responsive avenue for students to lodge complaints concerning the performance of an instructor. In addition, ECU must consider due process in notifying instructors of such complaints and in permitting appropriate responses.

Complaints from students whose identity is known by a chair, dean or other administrative officer of the University will be properly investigated. Confidential student educational records, including student complaints containing personally identifiable information, shall remain confidential to the extent required by applicable law, including the Family Educational Rights and Privacy Act (FERPA). This may require disclosure of some or all of an otherwise confidential student education record when rights protected by Due Process are at stake, as in situations where the results of a disciplinary proceeding could adversely impact an instructor’s property interests, such as potential loss of tenure or termination of an instructor on a fixed term contract prior to expiration of the term. Complaints containing personally identifiable information from students whose identities are known by a chair, dean or other administrative officer of the University shall not be considered part of a “secret file,” or “obtained from an anonymous source.” Evaluations of an instructor’s performance may include supervisor opinions based on observations and investigations prompted by such student complaints, so long as the content of the complaint is disclosed to the subject instructor at the initiation of the complaint, to the extent allowed by applicable law.

These provisions apply to those complaints by students about instructors received by unit (or other) administrators that are not covered by specific institutional policies, rules and regulations, such as those relating to academic integrity violations, grade disputes, sexual harassment, or any type of alleged discrimination. In general, the types of complaints covered by these provisions relate to violations of the reasonable expectation of students for a respectful, organized, and productive learning experience.

These provisions apply when a chair/unit (or other) administrator receives a verbal or written complaint from a student whose identity is known to the chair/unit (or other) administrator. The complaint may come directly from a student, a group of students, or from the Office of the Dean of Students, which maintains a student grievances and inquiries policy. If the complaint is against a Chair/unit Administrator, then the next higher-level administrator assumes the role of Chair/unit administrator in this process. Each step should be executed in a timely fashion (generally no more than five working days).

If the complaining student is willing to be identified to the instructor, a FERPA/Buckley waiver should be administered. A copy of any signed FERPA/Buckley waiver should be forwarded to the Registrar for inclusion in the student’s permanent file.

If the student is unwilling to be identified to the instructor, but is known to the unit administrator, protection of personally identifiable information about the student will be maintained to the extent required by law.

Upon receipt of a complaint the Chair/unit administrator will investigate the complaint and engage in fact finding. The Chair/unit administrator will first meet with the complaining party and then with the instructor in question, but personally identifiable information regarding the student will not be revealed to the instructor at this stage unless the student has signed a FERPA/Buckley waiver.

If warranted, the Chair/unit administrator will initiate other actions to investigate the complaint, e.g., visiting class, inspecting the syllabus, and examining grading records. The investigation may continue even if the student withdraws the complaint.

If the complaint is substantiated, then a form/letter documenting, to the extent allowed by law, the investigation and its resolution will be included in instructor’s personnel file. Typically, a copy of the student complaint or an administrator’s record of a verbal complaint, redacted to remove all personally identifiable information about the student, will be one of the items placed in the file. The instructor will receive timely notification of the addition to his or her personnel file and will be advised of his or her right to include a response in the personnel file, and of potential avenues for appeal as outlined in Part XII, Section I of the East Carolina University Faculty Manual. Disclosure of some or all of an otherwise confidential student education record may occur when rights protected by Due Process are at stake, such as those instances where the results of a disciplinary proceeding could adversely impact an instructor’s property interests.

If the complaint is not substantiated, this resolution is communicated to the instructor and the complaining party without inclusion of any record in the personnel file. At the option of the instructor, documentation, to the extent allowed by law, of this resolution may be placed in the personnel file. The student may contact the next higher administrator (usually the dean) with concerns or questions. (FS Resolution #16-42, May 2016)

Part VI, Section V: Graduation Policies

Contents

1. Application for Graduation
2. Faculty Marshals
3. Mace Bearer

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I. Application for Graduation

Advisers should remind students that an application for graduation must be submitted to the Registrar’s Office not later than two semesters before the completion of the requirements for an undergraduate degree or one semester for a graduate degree. See How to Apply to Graduate for more information. (FS Resolution #11-17, February 2011)

II. Faculty Marshals

Faculty Marshals are ten faculty and two alternates appointed from the full-time faculty to serve at graduations and other such ceremonial occasions as requested by the chancellor. Those appointed should be individuals readily recognized as outstanding members of the academic community. The Chief Faculty Marshal shall be the faculty marshal in the second or later year of appointment as a faculty marshal and who is of greatest faculty seniority among the faculty marshals. The Chief Faculty Marshal shall serve as ex-officio on the Administrative Commencement Committee. A Faculty Marshal’s appointment is a one-term, four year appointment beginning August 1. The Chair of the Faculty will make recommendations in May of each year to the Chancellor, who will appoint the individuals no later than July 31.

III. Mace Bearer

The mace bearer is a faculty member who leads University ceremonial events such as graduation and Founder's Day processions. The eligibility requirements to be appointed East Carolina University's mace bearer include:

• Senior faculty member in terms of years of service,
• Holds a full-time faculty position with East Carolina University, and
• Is not a unit administrator or an individual with one half or more of their load assigned to administrative duties.

The Senior Associate Vice Chancellor and Chief People Officer prepares a list of the most senior faculty members in terms of years of service to the University and notifies the Chancellor and Chair of the Faculty. The Chancellor makes the appointment. If there is more than one qualified individual, the responsibility of the position should rotate annually among them. (FS Resolution #10-14, February 2010; FS Resolution #15-101, December 2015)

Faculty members have the following options for ordering academic apparel:

1. A quality, tailor-made outfit may be purchased through the Student Store. Samples of materials and information concerning the styles of academic apparel are available. The cost of an outfit depends on the type of materials selected.
2. Academic apparel may also be rented through the Student Store. If an order is placed with the Student Store, faculty members are responsible for the rental fee whether or not the gown is picked up. The rental fee is based on the degree held by the faculty member. (FS Resolution #10-16, February 2010)

Part VI, Section VI: Emergency Notification and Evacuation Procedures

I. Emergency Notification and Actions

Faculty have the responsibility of familiarizing themselves with all firefighting equipment available in their area of operations and to knowing how and when to use it. Furthermore, faculty should familiarize themselves with the evacuation plan for their unit in the event of a fire.

The University has established an Emergency Notification System called ECU Alert. Through ECU Alert, the campus community is warned of dangerous situations and receives emergency action instructions through email, pop-up box, web page, tone, text and voice through VOIP phones, scroll bars on plasma screen displays, outdoor speaker system, text messaging and Tweets. Faculty should establish several ways to receive these alerts and emergency action instructions. Initial Alerts, emergency instructions and follow-up information will be posted online at ECU Alerts. Faculty must become familiar with exit routes as well as shelter-in-place procedures for their classroom/s and building/s. Once an alert has been issued, it is the responsibility of Deans, Department Heads and Vice Chancellors to verify that all units have received and are following the Alert instructions. (FS Resolutions #10-15, February 2010 & #10-47, April 2010)

II. Emergency Evacuation Procedures

Faculty have responsibility for familiarizing themselves with emergency plans for their unit and are expected to assist with and encourage complete building evacuation whenever the fire alarm system is activated or when instructed to do so through other means of notification. Faculty are expected to inform students in the classroom buildings of the specific emergency and what actions should be taken. Attempts should not be made to fight a fire unless trained in the proper use of fire-fighting equipment. Faculty are not expected to place themselves in a position that will compromise their safety. Once safely outside the building faculty should remain with their class, identifying any missing students and provide names and any other pertinent information to ECU Police or Greenville Fire Rescue. (FS Resolution #10-47, April 2010)

Part VI, Section VII: Curriculum Procedures, Academic Program Development, and the Academic Calendar

In accordance with ECU’s commitment to strong academic programs and the SACSCOC Principles of Accreditation, ECU “places primary responsibility for the content, quality, and effectiveness of the curriculum with its faculty.” Program and curriculum changes are initiated, prepared, and presented for review through ECU’s curriculum management system. All proposals follow an approval process inclusive of all relevant ECU campus bodies and voting faculty as defined in this document. Three levels of approval are defined according to the specific delegated authority of final approval bodies. Proposals governed by the policies and procedures of the UNC System Office (UNC-SO) and/or Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) will follow additional approval steps and will therefore take longer to proceed through the entire approval process.

Academic Planning and Accreditation (APA), a unit of Institutional Planning, Assessment and Research, facilitates the curriculum and program development process through administration of ECU’s curriculum management system and direct consultation with faculty planners. The Office of Continuing Studies and Distance Education and APA process requests to deliver new and existing academic programs through distance education. Consultation with the unit curriculum liaison, personnel in the Office of the Registrar, and personnel in APA is recommended at the onset of curriculum and program development.

The Academic Program Development Collaborative Team (APDCT), an advisory body to the Academic Council, is comprised of the Educational Policies and Planning Committee (EPPC) chair; dean of the Graduate School; representatives from the Office of Continuing Studies and Distance Education, Institutional Research, Academic Planning and Accreditation, and Division of Health Sciences; and the Chair of the Faculty. APDCT collaborates with faculty planners to strengthen program proposals and makes recommendations to the Academic Council, EPPC, and the dean of the Graduate School (as applicable) on developing programs.

Academic committees of the Faculty Senate and the Graduate School review course and program proposals, as well as proposed changes to the academic calendar in accordance with their stated charges. Faculty Senate committees also approve requests for special course designations.

In cases of financial exigency or the initiation of a discontinuation, curtailment, or elimination of a teaching, research, or public service program, the provisions of the ECU Faculty Manual will apply.

The Chancellor or designee in consultation with the Chair of the Faculty may establish deadlines of not less than two weeks by which each person and/or committee listed must report its concurrence (approval) or non-concurrence with the proposed action. Failure to report by the established deadline shall be considered an abstention and the proposed action shall progress to the next level for consideration.

A. Definitions

1. Degree Programs
   A degree program is a program of study in a discipline specialty that leads to a degree in that distinct specialty area at a specified level of instruction. All degree programs are categorized individually in the University’s academic program inventory (API) at the six-digit CIP code level, with a unique UNC-SO identifying code, and teacher licensure area, if applicable. As a rule, a degree program requires coursework in the discipline specialty of at least 27 semester hours at the undergraduate level and 21 semester hours at the doctoral level. A master’s level program requires that at least one-half of the total hours be in the program area. Anything less than this within an existing degree program should be designated a concentration. Degree programs require final approval by UNC-SO and the UNC Board of Governors (BOG). Minors and concentrations receive final approval at the campus level. (Paraphrased from Academic Program Guidance (PDF), UNC System Office, 1/25/16.)
2. Certificates
   A certificate program provides an organized program of study that leads to the awarding of a certificate rather than a degree. ECU offers certificate programs at a minimum of 6 credit hours at the pre-baccalaureate level, and a minimum of 6 credit hours at the post-baccalaureate, post-master’s, and post-doctoral levels. Once a certificate is approved, it must be submitted to the U.S. Department of Education to determine if the program is eligible for participation in Title IV (financial aid) programs.
3. Teacher Licensure Areas (TLAs)
   These are specific course clusters that meet licensure requirements of the State Board of Education but do not lead to the conferral of a particular degree or certificate. These may be at either entry level or advanced level of teacher licensure. When an institution receives authorization from the State Board of Education to offer a TLA, UNC-SO must be notified. A current inventory of teacher licensure programs approved by the State Board of Education is available on the North Carolina Department of Public Instruction Website.

B. Program Coordination

Each degree program and certificate will have a designated Program Director or Coordinator who must be approved by the unit chair (or, in the case of interdisciplinary programs, appointed by the college dean) and qualified to lead development and review of the program’s curriculum. (FS Resolution #19-08)

C. Levels of Delegated Authority for Course and Program Approval Process

Level I Course and Program Changes:

Level I course and program changes require campus approval by the department, college/school, and university Undergraduate Curriculum, designation-granting, or Graduate Curriculum Committees. The Faculty Senate delegates authority to the Undergraduate Curriculum Committee and designation-granting committees, and the Graduate Council delegates authority for these actions to the Graduate Curriculum Committee and designation-granting committees.

Level I Course Changes:

1. Revising a course: title, description, objectives, prerequisite(s), prefix, repeatability, credit hours, and content
2. Renumbering an existing course at the same or different level
3. Adding or removing a course designation
4. Revising the prefix for an entire course list or program*
5. Banking or deleting courses
6. Removing a 5000-level course from the undergraduate catalog
7. Proposing new courses

* Memo-only action; committee may waive faculty attendance

Level I Program Changes:

1. Revising degrees: revising course selections (excludes total credit hours); revising core requirements, electives, admission standards, and/or descriptive text; adding or removing thesis/non-thesis options
2. Revising certificates: revising course selections (excludes total credit hours); revising core requirements, electives, admission standards, and/or descriptive text
3. Revising concentrations and minors: revising course selections (including total credit hours); revising titles; revising core requirements, electives, admission standards, and/or descriptive text; discontinuing

Program changes excluded from Level I are degree and certificate title and/or CIP code changes; revising total credit hours of degree programs; change in delivery mode; and moving degree and certificate programs to a new academic home, as these actions require EPPC review and some are reported to UNC-SO and/or SACSCOC as indicated below.

Level II Course and Program Changes:

Delegated authority to EPPC and Academic Council. Level II changes course and program changes require approval at the department, college or school, and university levels including Undergraduate Curriculum/Graduate Curriculum Committee, Graduate Council, EPPC, Faculty Senate and the Chancellor (Academic Council).

1. Increasing/decreasing a graduate degree total credit hours by less than 25%
2. Moving a prefix, degree, certificate, concentration, or minor program to a new academic home
3. Proposing an accelerated degree program
4. Proposing a new certificate
5. Proposing a new concentration in an existing degree program
6. Proposing a new minor
7. Revising an existing certificate title
8. Revising an existing certificate total credit hours
9. Revising a CIP code for an existing certificate
10. Discontinuing an existing certificate (no UCC/GCC review required)

Level III Program Changes:

Require Chancellor Approval.

Level III changes are program changes or proposals that require approval at the department, college/school, and university levels/committees; Chancellor; and UNC-SO and/or SACSCOC approvals or notifications.

1. Discontinuing an existing degree program (no UCC/GCC review required)
2. Proposing a new degree program
3. Revising an existing degree title
4. Increasing/decreasing an existing undergraduate degree outside the UNC mandatory 120 total credit hours
5. Consolidating two or more existing degrees
6. Proposing a new delivery mode for an existing degree (no UCC/GCC review required)
7. Increasing/decreasing graduate degree total credit hours by 25% or more
8. Changing a degree designation (e.g., MA to MS)

UNCSO and/or SACSCOC approvals or notifications only (no UCC/GCC, or EPPC review required)

1. Revising a CIP code for an existing degree program
2. Discontinuing an existing teacher licensure area

D. New Degree Program Development Approval Process

Proposed programs must be approved for inclusion on the ECU Academic Program Plan through the Request for Inclusion process and, by special circumstance, through the Academic Council in consultation with the Educational Policies and Planning Committee. All program proposals accepted on the plan undergo a rigorous campus-wide vetting process and are submitted in accordance with UNC-SO policies and procedures. New degree programs may not be advertised until ECU receives UNC BOG approval.

Programs included on the ECU Academic Program Plan require approval at the department, college/school and university levels/committees through approval of the Academic Program Development Collaborative Team. In the first (planning) phase of development, all ECU faculty are invited to participate in a campus-wide process and are invited to provide formal feedback to aid in decision-making by the Academic Council. Upon approval of the Academic Council, the planning document is submitted to the UNC-SO. The establishment phase of development follows normal campus review processes, including curriculum and program proposals.

The proposing academic unit, Academic Planning and Accreditation, and the Office of the Registrar will collaborate to ensure that all approved actions are communicated to the campus community, as well as to UNC-SO and SACSCOC as required.

E. Academic Program Review

Every academic program that is not accredited by a specialized accrediting agency is required to be reviewed as part of a seven-year unit program evaluation. The Academic Program Review will be conducted according to the Academic Program Review Guidelines (PDF). Changes to these guidelines need to be approved by the Educational Policies and Planning Committee and the Faculty Senate. The Academic Program Review shall be used in the development of the program’s operational and strategic plans.

F. Academic Calendar

Because the Academic Calendar is fundamental to the “content, quality, and effectiveness of the curriculum,” (see paragraph 1 above; or SACS) no changes to the Academic Calendar shall be made without consultation of the Calendar Committee and Faculty Senate.

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Faculty Senate Resolution #12-46, March 2012
Faculty Senate Resolution #12-50, March 2012
Faculty Senate Resolution #14-62, May 2014
Faculty Senate Resolution #15-63, May 2015
Faculty Senate Resolution #17-13, March 2017
Faculty Senate Resolution #18-22, April 2018
Faculty Senate Resolution #18-68, January 2019
Faculty Senate Resolution #19-08, February 2019
Faculty Senate Resolution #19-71, November 2019
Faculty Senate Resolution #19-79, December 2019
Faculty Senate Resolution #19-88, January 2020
Faculty Senate Resolution #20-31, April 2020
Faculty Senate Resolution #20-58, November 2020
Faculty Senate Resolution #20-72, December 2020
Faculty Senate Resolution #20-82, December 2020
Faculty Senate Resolution #21-02, February 2021
Faculty Senate Resolution #21-27, April 2021
Faculty Senate Resolution #21-33, June 2021
Faculty Senate Resolution #21-61, December 2021 Faculty Senate Resolution #22-66, January 2023
Faculty Senate Resolution #23-29, May 2023
Faculty Senate Resolution #24-21, April 2024
Faculty Senate Resolution #24-41, August 2024
Faculty Senate Resolution #25-14, March 2025

Part VII, Section I: Faculty Research, Creative Activity, Scholarship, Innovation, Engagement, and Outreach

Faculty scholarship includes the scholarship of research, the scholarship of creative activity/innovation, and the scholarship of engagement and/or outreach. Scholarship is a fundamental faculty activity, and faculty have freedom to pursue scholarship on the subjects of their choosing. The quality of the scholarly works that faculty produce should be based on the standards of the profession as determined by the community of scholars with the expertise and training to establish these standards. Part VIII of the East Carolina University Faculty Manual establishes general criteria for the evaluation of scholarship in the appointment and promotion of faculty members and requires that the relative importance of each type of scholarly activity be clearly defined in the unit code. Faculty have the obligation to adhere to the research and scholarship guidelines established by East Carolina University, the federal government, and the community of scholars. This document provides guidelines for research and scholarship established by the ECU faculty and references to research and scholarship policies, rules, and regulations (PRRs) as well as research- and scholarship-related standard operating procedures established by East Carolina University.

Research and scholarship also form a basic part and are integrally linked to the faculty members’ teaching responsibility. Original results of research and scholarship inform faculty members’ interactions with students at all levels. Deeper understanding of research and scholarship is conveyed when faculty develop students so that they may participate in research and scholarly activities. Effective mentoring of students is critical to their transition to independent research and scholarship. While this document focuses on faculty research and scholarship, it also provides references to research and scholarship related PRRs relevant to collaborative scholarly work involving faculty and students. (FS Resolution #12-39, May 2012)

Part VII, Section II: Scholarship/Research/Creative Activity Guidelines

Contents

1. Funded Research
2. Principles and Policy for the Protection of Human(s) in Research
3. Animal Welfare Regulations
4. Research Data and Records
5. Patents
6. Copyrights (created work)

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This section and the related policies and regulations referenced within the section, contain guidelines for ECU researchers and scholars. Many of these guidelines are dictated by federal law and institutional policies and procedures. Guidelines within this section include those for externally funded research and scholarship, protection of humans in research, animal welfare in research, retention of research data and records, patents that arise from scholarly activity, and copyright of scholarly material produced by faculty. Faculty members are expected to be familiar with and to follow the guidelines that apply to their research and scholarly activities.

I. Funded Research

As a constituent institution of The University of North Carolina, East Carolina University receives its basic financial support from appropriations by the North Carolina General Assembly and from tuition and fees paid by students. However, to achieve and maintain a higher level of excellence than is possible with those funds and in accordance with the mission and strategic plan of ECU, grants and contracts are sought from governmental and other sources as well as gifts from alumni, friends, corporate entities, and foundations.

A. Definitions

Gift - A gift is an item of value, ownership of which is voluntarily transferred from one party to East Carolina University or one of ECU’s foundations without direct compensation to the first party. Gifts may be in the form of cash or in kind (e.g., art objects, equipment, securities, real estate, services, insurance, etc.). Gifts may be solicited (given in response to a request from ECU) or unsolicited (given at the donor's own initiative). Gifts are generally classified as unrestricted, i.e., use or disposition of the gift is at the discretion of the university.

Contract – The principal purpose of a contract is the acquisition of property or services for the direct benefit or use by the Government or other sponsor. The sponsor may select from several candidates to carry out the project and typically exerts fairly strict management control over the contract recipient. Contracts are typically awarded by the federal government in response to requests for proposals (RFP's), by state and local government agencies, and by for-profit commercial entities (single owner companies, partnerships, and corporations).

Grant – The purpose of a grant is to transfer money, property, services or anything of value from the government or other sponsor to the recipient in order to accomplish a public purpose. A grant is typically awarded for projects where most or all of the factors outlined above have not yet been determined. Grants are frequently awarded for experimental projects or for projects where the idea and purpose of the award have been suggested by the grantee. The grantee works independently and has considerable latitude in accomplishing the aims and goals of the project. Grants are typically awarded by the federal government and by private nonprofit foundations and organizations. The outcomes of the project are typically not of direct benefit to the sponsor of a grant.

Cooperative Agreement –A cooperative agreement is like a grant; however, the government or sponsor expects to be more involved in project planning and implementation. The funding agency retains an interest in procedures, timetables, etc. and works cooperatively with the awardee in order to share responsibility for achievement, changes in methods, delays, etc. A cooperative agreement is most likely to be used by certain agencies of the federal government, again to accomplish a public purpose.

B. Fundraising and Gifts

While all members of the university community are encouraged to participate in the process of identifying and qualifying prospective funding sources, the vice chancellor for university advancement is responsible for the coordination of all fund raising activities at the university which are direct gift solicitations. No solicitation or acceptance of gifts shall be made by any faculty member in the name of or for the benefit of the university without prior clearance through the Division of University Advancement. Exceptions to this restriction may be documented in the PRRs for Institutional Advancement. Procedures for fundraising and the solicitation and acceptance of gifts are included in the Institutional Advancement PRRs.

ECU REG04.05.01. Gifts Affecting the Curriculum
ECU REG04.05.02. Coordination of Private Gift Fund-Raising Activities at East Carolina University

C. Contracts, Grants, and Cooperative Agreements

All proposals to governmental, private nonprofit, or corporate agencies or organizations for a contract, grant, or cooperative agreement to support research (including clinical research), instruction, public service, or other creative activities to be conducted by any faculty or staff member or other person associated with the university shall be coordinated, reviewed and approved in advance of submission to the sponsor with the Office of Research Administration.

II. Principles and Policy for the Protection of Humans in Research

East Carolina University acknowledges and accepts its responsibilities for protecting the rights and welfare of individuals who act as participants in research conducted by its faculty, staff and students. The protection of humans in research activities was dealt within a president's (chancellor's) policy memorandum dated May 22, 1970. This earlier memorandum is hereby amplified and superseded.

A. Statement of Ethical Principles

East Carolina University has adopted as a guiding statement of ethical principles the three principles as set forth in the report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research dated April 18, 1979, and entitled The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research include respect for persons, as implemented through the informed consent process and documents, beneficence which is applied through the analysis of known risks versus potential benefits, and justice which ensure that the burden of research is not placed on any one population and the benefits of research are open to all who might gain from their participation.

In addition, East Carolina University acknowledges and accepts the requirements set forth in the Department of Health and Human Services Title 45 Code of Federal Regulations Part 46 (45 CFR 46) for all research involving humans regardless of funding source. ECU also applies the Food and Drug Administration regulations found at Title 21 CFR Parts 11, 50, 56, 312, 600, and 812 to all human research classified as a “clinical investigation” or that involves an article that falls within FDA’s purview. ECU also applies, as applicable, regulations from the Department of Defense, Department of Education, and other DHHS agencies. With international human research, ECU applies regulations set forth by the International Council on Harmonization.

B. Institutional Policy

It is the policy of East Carolina University that all research activities involving humans, through direct intervention or interaction or the use of private, identifiable information about humans, and that are conducted by its faculty, staff or students must be submitted, reviewed, and approved by an appropriately established peer-review committee known as an Institutional Review Board (IRB). At ECU, there is the University and Medical Center Institutional Review Board (UMCIRB), which supports two IRBs: the Biomedical Review Board and the Behavioral and Social Science Review Board (BSS IRB). These committees consist of scientists, non-scientists and community members. The committee must meet federally mandated membership requirements. Committee members serve four year terms, as appointed by the university's chief research officer.

The Office for Human Research Integrity (OHRI) is responsible for providing support to ECU’s IRBs, the Vice Chancellor for Research, and faculty, staff and students who wish to engage in human research activities. OHRI also is responsible for providing education, quality improvement reviews, and orientation activities to IRB members, investigators and research personnel. It is the responsibility of this Office to make recommendations for IRB membership to the Vice Chancellor of Research to ensure compliance with federal regulatory requirements.

It is the responsibility of the OHRI staff, with consultation from IRB Chairs and Vice Chairs, to determine whether a research activity meets the definition of human research. This determination cannot be made by investigators, research personnel, or other bodies within ECU.

The type of review mechanism that a proposed research activity may receive is based upon criteria set forth in the federal regulations.

Researchers wishing to conduct human research activities must first complete training in human research protections. This training is offered through the Office of Human Research Integrity and can be accessed through the UMCIRB website.

It is the responsibility of Faculty acting as mentors to students conducting human research activities to ensure that the students complete the necessary training before submitting their applications through e-PIRATE, the electronic submission and review system found on the OHRI website.

East Carolina University requires all principal investigators and their research teams to comply fully with the appropriate federal regulations, institutional policies, and the UMCIRB Standard Operating Procedures.

C. Implementation of Policy

In all activities involving human research participants, the chairperson of the pertinent department or head of the academic unit is responsible for ensuring that the proposed research activities are scientifically sound, that the methods and procedures will adequately address the research question, and that the proposed research fits with the mission of the department or academic unit as well as the university.

The principal investigator is responsible for conducting the research according to the ethical principles of the discipline, the ethical principles of the Belmont Report, university policies and procedures, and the methods and procedures approved by the Institutional Review Board.

The IRB has the federally mandated authority to approve, modify or disapprove proposed research. It also has the authority to suspend or terminate approval of research that is not being conducted in accordance with the IRB's requirements or that has been associated with unexpected serious harm to participants. The IRB is obligated to report suspension and terminations through a report to the investigator, institutional officials, and sponsoring agency, if any. Principal investigators of research studies involving humans must submit a complete protocol and address all applicable questions in e-PIRATE, upload appropriate informed consent and assent documents, and any other study related materials. Access to the electronic system, e-PIRATE, requires completion of human research protections training, registering with OHRI through e-PIRATE, and completing an Investigator Profile. A copy of all research study materials including signed informed consent and study related correspondence must be maintained by the principal investigator for at least 3 years, or longer if required by the research sponsoring agency.

If the research involves Protected Health Information or storage of data outside of ECU’s maintained servers, additional requirements must be met. More information on those requirements can be found at the UMCIRB website. Research documents that involve protected health information must be maintained for a minimum of 6 years beyond the end of the project.

Investigators are responsible for reporting the progress of UMCIRB-approved research to the Office for Human Research Integrity, through the use of a renewal or continuation review accessed through e-PIRATE. Federal regulations require that IRB approval be issued no less often than once per year as set forth in 45 CFR 46.109. In addition, research investigators are responsible for reporting promptly to their department chair and to the OHRI, any unanticipated problems which involve risks to the research participants or others.

III. Animal Welfare Regulations

The ECU Institutional Animal Care and Use Committee (IACUC), in conjunction with the University Attending Veterinarian (AV) and the Institutional Official (IO- vice chancellor for research and graduate studies), are charged with oversight of vertebrate animal care and use activities. Federal regulations require that anyone (faculty, staff, students) using vertebrate animals in research, teaching, and testing must obtain approval from the ECU IACUC prior to initiation of the activity. Animal Use Protocol (AUP) forms and additional information such as training requirements, occupational health and safety requirements, mechanisms for reporting animal welfare concerns, IACUC operations, rules and guidelines, and links to other relevant websites (e.g., the Department of Comparative Medicine home page and the Prospective Health home page are located on the IACUC website. The ECU IACUC regulations must comply with all relevant Federal regulations (for more information see USDA Animal Welfare Act and Regulations (PDF) and PHS Policy on Humane Care and Use of Laboratory Animals and Guide to the Care and Use of Laboratory Animals).

IV. Research Data and Records

A. Purpose

The preparation and retention, of accurate and appropriate records are essential components of a credible research endeavor. East Carolina University, its faculty, staff, and students have a common interest and a shared responsibility to assure that research data and records are recorded appropriately, archived for a reasonable length of time, and available for review by scholars and others under appropriate circumstances. Original research records are also essential to protect intellectual property rights, to answer ongoing questions regarding the management of a research program, and to address questions that may arise regarding the propriety of research conduct and methods. This policy defines the nature of research data and its associated records. It also describes the importance of good data and record keeping for obtaining and defending intellectual property rights, and the procedures to be used for the custody, retention, access, and transfer of research data and records.

This policy shall apply to all faculty, staff, and students of East Carolina University who are involved in the design, conduct, and/or reporting of research at or under the auspices of East Carolina University, regardless of source of funding.

B. Definition of Research Data and Records

Research data and records refers to recorded information, regardless of its form or the media on which it may be recorded, which is necessary for the reconstruction and evaluation of the reported results of a research project. Research data and records include more than just primary data (e.g., raw numbers generated by a measuring instrument; audiotapes or transcripts of survey interviews). They also include documentation or citation of a) the experimental methods for data collection, and b) the methods used for data processing and interpretation. In practice, they include, but are not limited to, the material contained in laboratory notebooks or other media such as computer disks and machine printouts. The term does not include the intellectual property generated by a research project; administrative information, such as financial data; or the tangible products of research, e.g., tissue banks, specialized tools or chemicals produced by the project. (Ownership and disposition of intellectual property or the tangible products of research are covered by other ECU policies.)

C. Intellectual Property Issues Involving Research Data and Records

Retention of maximum intellectual property rights places additional importance on the preparation and retention of research data and records. Documented research records are important in determining priority of research data, such as identifying who first conceived an invention or in defending against patent infringement. In order to protect the rights of investigators and the university to the intellectual property generated by their research programs, university technology transfer managers recommend specific record keeping and retention practices such as the use of bound laboratory notebooks. Maintaining good data records is recommended for all university laboratories, but is essential for any patentable or licensable research activity. Responsible faculty should be aware of and follow, as closely as possible, the record-keeping recommendations offered by the Office of Research Administration. The data management approaches above will also help defend an investigator and their work if there is an allegation of misconduct regarding this research.

D. Custody of Research Data and Records

Custody of original research data and records is the responsibility of the senior investigator of a project, usually a faculty member. This senior investigator (the responsible investigator) must ensure the integrity, preservation and security of the original research data and records. Expenses of data and record preservation and security are allowable costs to sponsored programs. As an aid to scholars and other appropriate individuals who may wish to review the research data and records, all research records must be appropriately organized and labeled to allow the identification of specific information within the records by someone who was not involved with the original project.

In situations where the vice chancellor for research and graduate studies (the designated ECU Integrity Officer) has received an allegation of research misconduct pursuant to ECU policy (Section III. below) or when patent litigation is imminent, the university may take immediate and preemptory custody of the original research data and records relating to the allegation or the patent. In this circumstance the university shall provide needed copies of data and records to the investigator that will allow active research projects to continue.

In multi-institutional studies, contractual agreements often stipulate that the home institution of the primary study director shall have custody of original primary data from all participating institutions. In situations where ECU is not the site of the home institution and will need to transfer the original data to the institution of the study director, ECU shall retain a true copy of all data and records generated for the multi-institutional study.

Senior members of research teams have obligations and are held responsible for discussing the responsibilities of data management and retention with other members of the research team. The senior member of the research team must directly oversee the data and record management of the technicians, post-doctoral fellows, students, and others working under their direct supervision.

E. Access to Research Data and Records

The university ultimately owns data and support records generated by its faculty, staff and students. Therefore the university has the right of access to (and to make copies of) the data and records for all research performed at the university or under university auspices provided such access to the records shall be for reasonable cause, at reasonable times and after reasonable notice (except in cases of misconduct allegations, see below). For example, the University Medical Center Institutional Review Board, the office for Human Research Integrity staff, the Brody School of Medicine Compliance office, and office for Research Compliance Administration, acting for the university, may review records and study data of projects that use human participants to assure compliance with regulatory human research protections. In cases involving an allegation of research misconduct, the university through the vice chancellor for research and graduate studies may request immediate, preemptory access and custody of original research records. When such records contain confidential information about human participants in research, the vice chancellor shall institute appropriate procedures to assure that participant confidentiality is maintained while the research records are in his custody.

Extramural sponsors providing support for East Carolina University and appropriate governmental officials also have the right to review the data and records resulting from that extramural support. In addition, investigators, co-investigators, students, visiting researchers, and students who are or were an integral part of a research project team have the right to review all records and data which are part of that project or support publications for which they are named authors. Similarly, investigators, co-investigators, students, visiting researchers, and students have a right to a copy of data that they personally generated or substantially analyzed unless prohibited by law, regulation, or contractual agreements. The responsible investigator in addition has the right to distribute to other scholars or individuals copies of any part the research records in his custody per the general practices of their field of study unless prohibited by law, regulation, or contractual agreements.

F. Retention of Research Data and Records

Research data and records, including the primary experimental results, should be retained for a sufficient period to allow evaluation and repetition by others of published results emanating from those data. In general, five years from the first publication date of the research results is specified as the minimum period of retention for research published in peer-reviewed journals. For sponsored research that is not published, the minimum retention period is five years from the date of the issuance of the final report to the research sponsor, unless the sponsor specifies a longer retention period. However, if an investigation, legal action or an official inquiry concerning a research project is underway, all data and records related to the project must be retained and made accessible until all issues are resolved. In addition, the records should be kept for as long as may be required to protect any patents or other intellectual property resulting from this work. If a research project is not funded with external or designated internal funds (e.g., an internal university grant), the above retention policy shall apply to these research data and records only when the project results in a publication, its data is used to support a grant or contract application, or it involves the use of animals or human participants. If research involves the generation, use, or disclosure of protected health information (PHI), the minimum retention of those records including consent and authorization agreements must be maintained for a minimum of six years beyond the end of the project. If a participant withdraws authorization of use of PHI, the researcher must consider that request to constitute the end of the project and Day 1 of the six year retention period for that sample.

G. Transfer of Research Data and Records that Support University Patents or Were Funded by Federal Grants and Contracts

Pursuant to federal regulations (OMB Circular A-110, section 53) and the need of the university to protect its patent rights, original research data and records that support university patents or were funded by federal grants and contracts must remain in the custody of the university for the required retention period as discussed above. In the event the responsible investigator transfers to another institution or leaves the university for any reason the responsible investigator shall transfer custody of these original research data and records to the university. Exceptions to this policy are discussed at the end of this section. The responsible investigator, however, may make a copy of the data and research records at university expense for their personal use at a new institution unless prohibited by law, regulations or contractual agreements. Before their departure, the responsible investigator shall transfer custody of the original research data and records to their department chair or supervisor as required by this policy. These records shall be retained in the University Archives of Joyner Library pursuant to the retention paragraph above. These data and records shall be organized in a format to permit reasonable identification of specific experiments and data by individuals not involved with the original research.

These research data and records shall be used by the university only for patent litigation, misconduct inquiries and investigations, or for other purposes required by federal regulations for US government funded research.

Exceptions:

1. Currently Active Federal Grants and Contracts: If the responsible federal agency allows the transfer of an active grant or contract to the new institution of the principal investigator, and the new institution accepts the administrative responsibility for the federal award, the original research data and records may be transferred to the new institution upon the request of that institution. The university, however, shall retain a true copy, made at university expense, of all research records produced while the research project was active and under ECU jurisdiction.
2. Faculty Request for Transfer of Original Records: Per OMB Circular A-110 section 53c, a faculty member may request authorization from the responsible federal agency to substitute true copies of the research data and records in the University Archives in place of the originals. If so authorized, the investigator may then transfer theirr original data and records to the new institution.
3. Multi-Institutional Federal Grants and Contracts: If such federal awards designate a specific institution as the depository of original data and records for a multi-institutional project, the university shall comply with this requirement. However, the university shall retain a true copy of the original records produced at university expense.

H. Transfer of other Research Data and Records

In the event the responsible investigator transfers to another institution or leaves the university for any reason, the responsible investigator shall provide a true copy at university expense of their research data and records that have been retained less than five years in the investigator’s possession per the retention paragraph above. Before their departure, the responsible investigator shall provide these true copies of the research data and records to their department chair or supervisor. These data and records shall be organized in a format to permit reasonable identification of specific experiments by individuals not involved with the
original research. These research data and records shall be used by the university only for misconduct inquiries and investigations,

I. Resolution of Disputes Involving Research Data and Records

The vice chancellor for research and graduate studies or his designee shall arbitrate all disputes involving research data ownership, retention, and access. Whenever possible, the Vice Chancellor or designee shall first attempt to mediate a resolution to the dispute acceptable to all parties. When the dispute involves faculty from the School of Medicine or the College of Arts and Sciences, the Vice Chancellor or designee shall consult with the designated Associate Deans for Research in those units.

V. Patents

East Carolina University is dedicated to the pursuit of instruction, research and scholarship, as well as engagement and innovation development activities, in an environment that is open to collaboration and publication. Inventions, discoveries and other intellectual assets sometimes arise as a result of these activities. These assets may qualify for intellectual property protection in the form of patents, copyrights, trademarks, and trade secrets. The Board of Governors of the University of North Carolina has determined that patenting and commercialization of these intellectual assets are consistent with the mission of the university.

The patent policy of the University of North Carolina is contained in Part 500.2 of the University of North Carolina Policy Manual. The patent policy of East Carolina University is available at POL10.40.01 (East Carolina University Patent Policy). These policies address ownership of university inventions, distribution of income derived from licensing, assignment, or commercialization activities related to university inventions, and management of disputes. The patent policies also recognize limited circumstances in which publication of scholarly works may be delayed for short periods of time to allow for filing of patent applications. Premature publication or public use of an invention can constitute a statutory bar to the granting of a patent. In most cases, inventors may publish, present, and discuss their inventions freely once a patent application has been filed.

VI. Copyrights (created work)

The mission of East Carolina University to become a national model for student success, public service, and regional transformation includes using creative learning strategies and delivery methods, discovering new knowledge, and fostering innovation and entrepreneurship. Products of these activities include the development and use of copyrightable materials. The creation of copyrightable materials in the form of literary, dramatic, and other intellectual works by the university community is encouraged as a measure of productivity and commitment to the dissemination of knowledge and creative activity for public benefit. The university supports an open and free environment for its faculty, staff, and students to carry out their scholarly work, and encourages publication without constraint. These policies are in accord with applicable laws and pertinent university regulations. The Copyright policies of the University of North Carolina (Part 500.2 and 500.2.1 of the University of North Carolina Policy Manual) and East Carolina University (REG10.40.02 East Carolina University Copyright Regulation) address ownership and use of copyrightable works. (FS Resolution #12-39, March 2012 and FS Resolution #15-70, May 2015)

Part VII, Section III: Ethics and Conduct in Research, Creative Activity, and Scholarship

Contents

1. Introduction
2. Definitions
3. Rights and Responsibilities
4. General Policies and Principles
5. Conducting the Assessment and Inquiry
6. The Inquiry Report
7. Conducting the Investigation
8. The Investigation Report
9. Completion of Cases; Reporting Premature Closures
10. Institutional Administrative Actions
11. Other Considerations

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I. Introduction

A. General Policy

All East Carolina University faculty have the responsibility to seek honestly and to promulgate ethically the truth in all phases of work. This responsibility governs not only the production and dissemination of research and creative activities, but also all applications for funding, reports to funding agencies, and teaching and publication of teaching materials.

B. Scope

This policy applies to allegations of research misconduct (fabrication, falsification, or plagiarism) involving East Carolina University faculty. This policy does not apply to authorship or collaboration disputes [see Part VII, Section II (VI.)].

II. Definitions

1. Research means a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge. Creative Activity refers to scholarship of research, scholarship of creative activity/innovation, and the scholarship of engagement and/or outreach, as defined in the ECU Faculty Manual Part VII, Section I. For the purposes of this policy, Research includes all basic, applied, and demonstration research in all academic and scholarly fields. Research and creative activity fields include, but are not limited to: the arts, the basic sciences, liberal arts, applied sciences, social sciences, clinical sciences, the professions, and research involving human subjects or animals.
2. Research and Creative Activity Misconduct (hereinafter misconduct) is defined as fabrication of results, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting the results. Research misconduct does not include honest error or differences of opinion.
3. Fabrication of results is making up data or results and recording or reporting them.
4. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record. The research record is the record of data or results that embody the facts resulting from the research inquiry and includes, but is not limited to research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, books, dissertations, and journal articles.
5. Plagiarism is the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
6. Allegation means a disclosure of possible misconduct through any means of communication. The disclosure may be a written or oral statement or other communication to an ECU administrator or Research Integrity Officer (RIO) (see L. of this section).
7. Complainant means a person who in good faith makes an allegation of misconduct. There may be more than one Complainant in a given case.
8. Respondent means a person against whom is made an allegation of misconduct. There may be more than one Respondent in a given case.
9. Good faith as applied to a complainant or witness means having a belief in the truth of one's allegation or testimony. An allegation or cooperation with a research misconduct proceeding is not in good faith if made with knowing or reckless disregard for information that would negate the allegation or testimony. Good faith as applied to a committee member means cooperating with the research misconduct proceeding by carrying out the duties assigned impartially for the purpose of helping an institution meet its responsibilities under this definition. A committee member does not act in good faith if their acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding.
10. Preponderance of the evidence means proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not.
11. Research Record means the record of data or results that embody the facts resulting from research and creative activity, including but not limited to, research proposals, laboratory records both physical and electronic, progress reports, abstracts, theses, dissertations, oral presentations, internal reports, journal articles, creative works, and any documents and materials provided to a sponsoring agency having jurisdiction and authority or an institutional official by a respondent in the course of the research misconduct proceeding. A research record also includes, but is not limited to, grant or contract applications, whether funded or unfunded; grant or contract progress and other reports, laboratory notebooks, notes, correspondence, videos, photographs, X-ray film, slides, biological materials, computer files and printouts, manuscripts and publications, equipment use logs, laboratory procurement records, animal facility records; human and animal subject protocols, consent forms, medical charts, and human subject research files.
12. Research Integrity Officer (RIO) is the institutional official responsible for: (1) assessing allegations of research misconduct to determine if they fall within the definition of research misconduct, are covered by law, regulation, or research sponsor policy, and warrant an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified; (2) overseeing inquires and investigations; and (3) the other responsibilities described in this policy. The RIO for ECU is the Director of the Office of Research Compliance Administration.
13. Deciding Official (DO) means the institutional official who makes final determinations on allegations of research misconduct. The Deciding Official will not be the same individual as the Research Integrity Officer and should have no direct prior involvement in the institution's inquiry, investigation, or allegation assessment. A DO's appointment of an individual to assess allegations of research misconduct, or to serve on an inquiry or investigation committee, is not considered to be direct prior involvement. The DO for ECU is the Vice Chancellor for Research and Graduate Studies. In the event that the Vice Chancellor for Research and Graduate Studies has a conflict of interest for a particular case then the Chancellor shall appoint a designee as the DO for that particular case.

III. Rights and Responsibilities

A. Research Integrity Officer

The Research Integrity Officer (RIO) will have primary responsibility for implementation of this policy. These responsibilities include the following duties related to misconduct proceedings:

1. Consult confidentially with persons uncertain about whether to submit an allegation of misconduct;
2. Receive allegations of misconduct;
3. Assess each allegation of misconduct in accordance with V. (A.) of this Section to determine whether it falls within the definition of misconduct and warrants an inquiry;
4. As necessary, take interim action and notify sponsors of special circumstances, in accordance with IV. (F.) of this Section 4.6 of this policy;
5. Sequester data or other products of scholarly activities and evidence pertinent to the allegation of misconduct in accordance with V. (C.) of this Section and maintain it securely in accordance with this policy and with applicable law and regulation;
6. Provide confidentiality to those involved in the misconduct proceeding as required by applicable law and university policy;
7. Notify the respondent and provide opportunities for them to review/ comment/respond to allegations, evidence, and committee reports in accordance with III.(C) of this Section;
8. Inform respondents, complainants, and witnesses of the procedural steps in the misconduct proceeding;
9. Ensure that the Deciding Official appoints the chair and members of the inquiry and investigation committees, ensure that those committees are properly staffed, that the members are without conflicts, and that there is expertise appropriate to carry out a thorough and authoritative evaluation of the evidence;
10. Determine whether each person involved in handling an allegation of misconduct has any unresolved personal, professional, or financial conflict of interest and take appropriate action, including recusal, to ensure that no person with such conflict is involved in the misconduct proceeding;
11. In cooperation with other institutional officials, take all reasonable and practical steps to protect or restore the positions and reputations of good faith complainants, witnesses, and committee members and to counter potential or actual retaliation against them by respondents or other institutional members;
12. Keep the Deciding Official and others who need to know apprised of the progress of the review of the allegation of misconduct;
13. Notify and make reports to sponsoring agencies as required by applicable law or regulation;
14. Take appropriate action to notify other involved parties, such as sponsors, law enforcement agencies, professional societies, and licensing boards of corrective actions; and
15. Maintain records of the misconduct proceeding and make them available to sponsoring agencies as appropriate under VIII. (D). of this.

B. Complainant

The Complainant is responsible for making allegations in good faith, maintaining confidentiality [as defined in IV.(C.)], and cooperating with the inquiry and investigation. As a matter of good practice, the complainant should be interviewed at the inquiry stage and given the transcript or recording of the interview for correction.

The RIO may provide to the complainant for comment: (1) relevant portions of the inquiry report (within a timeframe that permits the inquiry to be completed within sixty (60) calendar days of its initiation, unless an extension of time is granted in accordance with the terms of this policy); and (2) relevant portions of the draft report of the investigation. Any comments on the draft investigation report must be submitted within thirty (30) calendar days of the date on which the complainant received the draft report. The University must consider any comments made by the complainant on the draft investigation report and include those comments in the final investigation report. See IV.(D.) of this Section for rights and protections of the Complainant.

C. Respondent

1. The Respondent is responsible for maintaining confidentiality [as defined in IV. (C.)] and cooperating with the conduct of an inquiry and investigation. The Respondent is entitled to:
   1. A good faith effort from the RIO to notify the respondent in writing at the time of or before beginning an inquiry;
   2. An opportunity to comment on the inquiry report and have their comments attached to the report;
   3. Be notified of the outcome of the inquiry, and receive a copy of the inquiry report that includes a copy of, or refers to this policy;
   4. Be notified in writing of the allegations to be investigated within a reasonable time after the determination that an investigation is warranted, but before the investigation begins (usually within thirty (30) calendar days after the institution decides to begin an investigation), and be notified in writing of any new allegations, not addressed in the inquiry or in the initial notice of investigation, within a reasonable time after the determination to pursue those allegations;
   5. Be interviewed during the investigation, have the opportunity to correct the recording or transcript, and have the corrected recording or transcript included in the record of the investigation;
   6. Have interviewed during the investigation any witness who has been reasonably identified by the Respondent as having information on relevant aspects of the investigation, have the recording or transcript provided to the witness for correction, and have the corrected recording or transcript included in the record of investigation; and
   7. Receive a copy of the draft investigation report and, concurrently, a copy of, or supervised access to, the evidence on which the report is based, and be notified that any comments must be submitted within thirty (30) calendar days of the date on which the copy was received and that the comments will be considered by the institution and addressed in the final report.
2. The Respondent should be given the opportunity to admit that misconduct of research or creative activity occurred and that he/she committed the misconduct. With the advice of the RIO and/or other institutional officials, the Deciding Official may terminate the institution's review of an allegation that has been admitted, if the institution's acceptance of the admission and any proposed settlement is approved by any sponsoring agency having authority and jurisdiction. See Part IV. (D.) of this Section on rights and protections of the Respondent.

D. Deciding Official

1. The DO will receive the inquiry report and after consulting with the RIO and/or other institutional officials, decide whether an investigation is warranted. Any finding that an investigation is warranted must be made in writing by the DO and, where required by applicable law or regulation, must be provided to any sponsoring agency with authority and jurisdiction, together with a copy of the inquiry report, within thirty (30) calendar days of the finding. If it is found that an investigation is not warranted, the DO and the RIO will ensure that detailed documentation of the inquiry is retained for at least seven (7) years after termination of the inquiry, so that any sponsoring agency with authority and jurisdiction may assess the reasons why the institution decided not to conduct an investigation.
2. The DO will receive the investigation report and, may request all other associated documentation, after consulting with the RIO and/or other institutional officials, decide the extent to which he/she accepts the findings of the investigation and, if research misconduct is found, refer the matter to the appropriate Vice Chancellor to decide what, if any, institutional administrative actions are appropriate. The DO shall ensure that the final investigation report, the findings of the DO and a description of any pending or completed administrative actions are provided to any sponsoring agency with jurisdiction and authority, as required by law or regulation.

IV. General Policies and Principles

A. Responsibility to Report Misconduct

1. ECU faculty will report observed, suspected, or apparent misconduct to the RIO. If an individual is unsure whether a suspected incident falls within the definition of misconduct, they may meet with or contact the RIO to discuss the suspected misconduct informally, which may include discussing it hypothetically. If the circumstances described by the individual do not meet the definition of misconduct, the RIO will refer the individual or allegation to other offices or officials with responsibility for resolving the problem, if any.
2. At any time, an institutional member may have discussions and consultations about concerns of possible misconduct with the RIO and will be counseled about appropriate procedures for
   reporting allegations.

B. Cooperation with Misconduct Proceedings

All ECU faculty will cooperate with the RIO and other institutional officials in the review of allegations and the conduct of inquiries and investigations. These individuals, including Respondents, have an obligation to provide evidence relevant to misconduct allegations to the RIO or other institutional officials.

C. Confidentiality

The RIO shall: (1) limit disclosure of the identity of respondents and complainants to those who need to know in order to carry out a thorough, competent, objective and fair misconduct proceeding; and (2) except as otherwise prescribed by law, limit the disclosure of any records or evidence from which human research participants might be identified to those who need to know in order to carry out a research misconduct proceeding. The RIO should use written confidentiality agreements or other mechanisms to ensure that any person and/or entity receiving information about the case does not make any further disclosure of identifying information.

D. Protecting complainants, witnesses, and committee members

ECU faculty may not retaliate in any way against complainants, witnesses, or committee members. Any such retaliation is itself serious, and shall be subject to sanction. Any alleged or apparent retaliation against complainants, witnesses or committee members should be immediately reported to the RIO, who shall review the matter and, as necessary, make all reasonable and practical efforts to counter any potential or actual retaliation and protect and restore the position and reputation of the person against whom the retaliation is directed.

E. Protecting the Respondent and Use of Legal Counsel

1. As requested and as appropriate, the RIO and other institutional officials shall make all reasonable and practical effort to protect or restore the reputation of persons alleged to have engaged in misconduct, but against whom no finding of misconduct is made.
2. During the misconduct proceeding, the RIO is responsible for ensuring that respondents
   receive all the notices and opportunities provided for in this policy. Respondents may consult with legal counsel or a non-lawyer personal adviser (who is not a principal or witness in the case) to seek advice and may bring the personal advisor or legal counsel to interviews or meetings on the case. The role of the respondent's legal counsel is restricted to advising the respondent(s) and he/she may not act in a representative capacity or otherwise actively participate in interviews, meetings, or hearings.
3. The University shall provide legal counsel to assist the RIO, DO, Inquiry Panel, and Investigation Committee. The role of counsel is to advise and not to act in a representative capacity or otherwise actively participate in interviews, meetings, or hearings; provided, however, University counsel may be present at such interviews, meetings, or hearings, and must be present whenever respondent's legal counsel is present.

F. Interim Administrative Actions

1. Throughout the misconduct proceeding, the RIO will review the situation to determine if there is any threat of harm to public health, animal health, sponsor funds, equipment, or the integrity of the sponsored research process. In the event of such a threat, the RIO will, in consultation with other institutional officials and any sponsoring agency with jurisdiction and authority, take appropriate interim action to protect against any such threat. Interim action might include additional monitoring of the research process and the handling of equipment or sponsor funds,
   freezing or limiting access to fund accounts, reassignment of personnel or of the responsibility for the handling of human research participants or animal research subjects, equipment or sponsor funds, additional review of research data or creative activity products, or delaying publication.
2. The RIO shall, at any time during a misconduct proceeding, notify any sponsoring agency with jurisdiction and authority immediately if he/she has reason to believe that any of the following conditions exist:
   1. Health or safety of the public is at risk, including an immediate need to protect human participants or animal subjects;
   2. Resources or interests of sponsor are threatened;
   3. Research or creative activities should be suspended;
   4. There is a reasonable indication of possible violations of civil or criminal law;
   5. Action is required to protect the interests of those involved in the misconduct proceeding;
   6. The misconduct proceeding may be made public prematurely and action may be necessary to safeguard evidence and protect the rights of those involved; or
   7. The scholarly community or the public should be informed.

V. Conducting the Assessment and Inquiry

A. Assessment of Allegations

1. Upon receiving an allegation of misconduct, the RIO will immediately assess the allegation to determine whether it is sufficiently credible and specific so that potential evidence of research misconduct may be identified and whether the allegation falls within the definition of misconduct. An inquiry must be conducted if these criteria are met.
2. The assessment period should be brief, concluded within a reasonable time period as warranted by the nature of the allegations, typically within seven (7) to twenty-one (21) calendar days. In conducting the assessment, the RIO need not interview the complainant, respondent, or other witnesses, or gather data beyond any that may have been submitted with the allegation, except as necessary to determine whether the allegation is sufficiently credible and specific so that potential evidence of misconduct may be identified. The RIO shall, on or before the date on which the respondent is notified of the allegation, obtain custody of, inventory, copy as warranted, and sequester all records and evidence [see II. (K.)] needed to conduct the misconduct proceeding, as provided in V.(C.) of this Section.
3. If the criteria required to investigate are not met, the RIO is responsible for preparing a final report to be distributed to the respondent, complainant, and the DO within thirty (30) calendar days.

B. Initiation and Purpose of the Inquiry

If the RIO determines that the criteria for an inquiry are met, they will immediately initiate the inquiry process. The purpose of the inquiry is to conduct an initial review of the available evidence to determine whether to conduct an investigation. An inquiry does not require a full review of all the evidence related to the allegation.

C. Notice to Respondent; Sequestration of Research Records and Evidence

At the time of or before beginning an inquiry, the RIO must make a good faith effort to notify the respondent in writing, if the respondent is known. If the inquiry subsequently identifies additional respondents, they must be notified in writing. On or before the date on which the respondent is notified, or the inquiry begins, whichever is earlier, the RIO must take all reasonable and practical steps to obtain custody of all the research records and evidence needed to conduct the misconduct proceeding. The RIO will inventory the records and evidence and sequester them in a secure manner. There may be exceptions where the records or evidence encompass scientific instruments (or other tools or equipment essential to the research or creative activity in question) which are shared by a number of users. In those cases, custody of the records may be limited to copies of the data or evidence on or recorded in such instruments, so long as copies can be made substantially equivalent to the evidentiary value of the equipment itself. The RIO will provide a receipt of sequestered items to the respondent(s) or other individuals who have information relating to the inquiry. The RIO may consult with any sponsoring agency with jurisdiction and authority for advice and assistance in this regard.

D. Appointment of the Inquiry Panel

The DO, in consultation with the RIO and other institutional officials as appropriate, will appoint an Inquiry Panel of at least three individuals, as soon after the initiation of the inquiry as is practical. The majority of the committee shall be faculty without administrative appointment. The Inquiry Panel must consist of individuals who have no unresolved personal, professional, or financial conflicts of interest with those involved with the inquiry and should include individuals with the appropriate scientific or other relevant expertise to evaluate the evidence and issues related to the allegation, interview the principals and key witnesses, and conduct the inquiry. The committee members may be selected from inside or outside the University as warranted. The respondent, once known, will be notified in writing of the proposed committee membership and may object to a proposed member based upon a personal, professional, or financial conflict of interest. Any such objections must be submitted to the RIO no more than ten (10) calendar days from the date of the notification. The RIO will make the final determination of whether a conflict exists.

E. Charge to the Committee and First Meeting

1. The RIO will prepare a charge for the Inquiry Panel that:
   1. Sets forth the time for completion of the inquiry;
   2. Describes the allegation(s) and any related issues identified during the allegation
      assessment;
   3. States that the purpose of the inquiry is to conduct an initial review of the evidence, including the testimony of the respondent, complainant and key witnesses, to determine whether an investigation is warranted, not to determine whether misconduct definitely occurred or who was or were responsible;
   4. States that an investigation is warranted if the committee determines: (1) there is a
      reasonable basis for concluding that the allegation falls within the definition of misconduct;
      and, (2) the allegation(s) may have substance, based on the committee's review during the
      inquiry.
   5. Informs the Inquiry Panel that they are responsible for preparing or directing the preparation
      of a written report of the inquiry that meets the requirements of this policy and applicable
      law or regulation.
2. At the committee's first meeting, the RIO will review the charge with the committee, discuss
   the allegations, any related issues, and the appropriate procedures for conducting the inquiry,
   assist the committee with organizing plans for the inquiry, and answer any questions raised by
   the committee. The RIO will be present or available throughout the inquiry to advise the
   committee as needed.

F. Inquiry Process

The Inquiry Panel may interview the complainant, the respondent and key witnesses as well as examining relevant research records and materials. Then the Inquiry Panel will evaluate the evidence, including the testimony obtained during the inquiry. After consultation with the RIO, the committee members will decide whether an investigation is warranted based on the criteria in this policy. The scope of the inquiry is not required to, and does not normally, include deciding whether misconduct definitely occurred, determining definitely who committed the misconduct or conducting exhaustive interviews and analyses. However, if a legally sufficient admission of misconduct is made by the respondent, misconduct may be determined at the inquiry stage if all relevant issues are resolved. In that case, as required by applicable law or regulation, the institution shall promptly consult with any sponsoring agency with jurisdiction and authority, to determine the next steps that should be taken (See IX. of this Section).

G. Time for Completion

The inquiry, including preparation of the final inquiry report and the decision of the DO on whether an investigation is warranted, must be completed within sixty (60) calendar days of initiation of the inquiry, unless the RIO determines that circumstances clearly warrant a longer period. If the RIO approves an extension, the inquiry record must include documentation of the reasons for exceeding the 60 calendar day period. The respondent will be notified in writing of the extension.

VI. The Inquiry Report

A. Elements of the Inquiry Report

1. A written inquiry report must be prepared that includes the following information: (1) the name and position of the respondent; (2) a description of the allegations of misconduct; (3) the identification of any sponsor support, including, for example, grant numbers, grant applications, contracts and publications; (4) the basis for recommending or not recommending that the allegations warrant an investigation; (5) any comments on the draft report by the respondent or complainant.
2. Institutional counsel should review the report for legal sufficiency. Modifications should be made as appropriate in consultation with the RIO and the Inquiry Panel. The inquiry report should include: the names and titles of the committee members and experts who conducted the inquiry; a summary of the inquiry process used; a list of the records and other evidence reviewed; summaries of any interviews; and whether any other actions should be taken if an investigation is not recommended.

B. Notification to the Respondent and Complainant and Opportunity to Comment

1. The RIO shall notify the respondent and the complainant whether the inquiry found an investigation to be warranted, include a copy of the draft inquiry report for comment(s) usually within fourteen (14) calendar days, and include a copy of or refer to this policy. The complainant will receive only a copy of the portions of the draft inquiry report that address the claimant's role and opinions in the investigation for comment. The complainant shall execute in advance a written confidentiality agreement in a form approved by the Office of the University Attorney as a condition for access to the report.
2. Any comments that are submitted by the respondent and the claimant, respectively, will be attached to the final inquiry report. Based on the comments, the Inquiry Panel may revise the draft report as appropriate and prepare it in final form. The committee will deliver the final report to the RIO.

C. Institutional Decision and Notification

1. Decision by Deciding Official
   The RIO will transmit the final inquiry report and any comments to the DO, who will determine in writing whether an investigation is warranted. The inquiry is completed when the DO makes this determination.
2. Notification to External Sponsoring Agencies
   Within thirty (30) calendar days of the DO's decision that an investigation is warranted, as required by applicable law or regulation, the RIO will provide any sponsoring agency with authority and jurisdiction with the DO's written decision and a copy of the inquiry report. The RIO will also notify those institutional officials who need to know of the DO's decision. As required by applicable law or regulation, the RIO must provide the following information to such sponsoring agency upon request: (1) the institutional policies and procedures under which the inquiry was conducted; (2) the research records and evidence reviewed, transcripts or recordings of any interviews, and copies of all relevant documents; and (3) the allegations to be considered in the investigation.
3. Documentation of Decision Not to Investigate
   If the DO decides that an investigation is not warranted, the RIO shall secure and maintain for seven (7) years after the termination of the inquiry sufficiently detailed documentation of the inquiry to permit a later assessment by sponsoring agencies with authority and jurisdiction of the reasons why an investigation was not conducted. These documents must be provided to such agencies upon request.

VII. Conducting the Investigation

A. Initiation and Purpose

The investigation must begin within thirty (30) calendar days after the determination by the DO that an investigation is warranted. The purpose of the investigation is to develop a factual record by exploring the allegations in detail and examining the evidence in depth, leading to recommended findings on whether misconduct has been committed, by whom, and to what extent. The investigation will also determine whether there are additional instances of possible misconduct that would justify broadening the scope beyond the initial allegations. This is particularly important where the alleged misconduct involves clinical trials, potential harm to human participants or animal subjects, the general public or if it affects research that forms the basis for public policy, clinical practice, or public health practice. The findings of the investigation must be set forth in an investigation report.

B. Notifying Respondent; Sequestration of Research Records

1. As required by applicable law or regulation, on or before the date on which the investigation begins, the RIO must: (1) notify any sponsoring agency with jurisdiction and authority of the decision to begin the investigation and provide such sponsoring agency a copy of the inquiry report; and (2) notify the respondent in writing of the allegations to be investigated. The RIO must also give the respondent written notice of any new allegations of misconduct within a reasonable amount of time of deciding to pursue allegations not addressed during the inquiry or in the initial notice of the investigation.
2. The RIO will, prior to notifying respondent of the allegations, take all reasonable and practical steps to obtain custody of and sequester in a secure manner all research records and evidence needed to conduct the misconduct proceedings that were not previously sequestered during the inquiry. The need for additional sequestration of records for the investigation may occur for any number of reasons, including the University's decision to investigate additional allegations not considered during the inquiry stage or the identification of records during the inquiry process that had not been previously secured. The procedures to be followed for sequestration during the investigation are the same procedures that apply during the inquiry.

C. Appointment of the Investigation Committee

The DO, in consultation with the RIO and other institutional officials as appropriate, will appoint an investigation committee of at least five (5) individuals, as soon after the beginning of the investigation as is practical, preferably within ten calendar days. The investigation committee must consist of individuals who do not have unresolved personal, professional, or financial conflicts of interest with those involved with the investigation and should include individuals with the appropriate scientific or other relevant expertise to evaluate the evidence and issues related to the allegation, interview the respondent and complainant and conduct the investigation. The majority of the committee should be faculty without administrative appointment. Individuals appointed to the investigation committee may also have served on the Inquiry Panel. When necessary to secure the necessary expertise or to avoid conflicts of interest, the DO may select committee members from outside the University. The respondent will be notified of the proposed committee membership and given an opportunity to object to a proposed member based upon a personal, professional, or financial conflict of interest. If so, the respondent must submit objections in writing to the RIO no more than ten (10) calendar days from the date of the notification. The RIO will make the final determination of whether a conflict exists.

D. Charge to the Committee and the First Meeting

1. Charge to the Committee - The RIO will define the subject matter of the investigation in a written charge to the committee that:
   1. Describes the allegations and related issues identified during the inquiry;
   2. Identifies the respondent(s);
   3. Informs the committee that it must conduct the investigation as prescribed in VII.(E.) of this Section;
   4. States the following: “Research and Creative Activity Misconduct (hereinafter misconduct) is defined as fabrication of results, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting the results. Research misconduct does not include honest error or differences of opinion.”
   5. Informs the committee that it must evaluate the evidence and testimony to determine whether, based on a preponderance of the evidence, misconduct occurred and, if so, the type and extent of it and who was responsible;
   6. Informs the committee that in order to determine that the respondent committed misconduct it must find that a preponderance of the evidence establishes that: (1) misconduct, as defined in this policy, occurred (respondent has the burden of proving by a preponderance of the evidence any affirmative defenses raised, including honest error or a difference of opinion); (2) the misconduct is a significant departure from accepted practices
      of the relevant community; and (3) the respondent committed the misconduct intentionally, knowingly, or recklessly; and
   7. Informs the committee that it must prepare or direct the preparation of a written investigation report that meets the requirements of this policy and applicable law or regulation.
2. First Meeting
   The RIO will convene the first meeting of the investigation committee to review the charge, the inquiry report, and the prescribed procedures and standards for the conduct of the investigation, including the necessity for confidentiality and for developing a specific investigation plan. The investigation committee will be provided with a copy of this policy and any applicable federal or state law or regulation governing the investigation. The RIO will be present or available throughout the investigation to advise the committee as needed.

E. Investigation Process

The investigation committee and the RIO must:

1. Use diligent efforts to ensure that the investigation is thorough and sufficiently documented and includes examination of all records and evidence relevant to reaching a decision on the merits of each allegation;
2. Take reasonable steps to ensure an impartial and unbiased investigation to the maximum extent practical;
3. Interview each respondent, complainant, and any other available person who has been reasonably identified as having information regarding any relevant aspects of the investigation, including witnesses identified by the respondent, and record or transcribe each interview, provide the recording or transcript to the interviewee for correction, and include the recording or transcript in the record of the investigation; and
4. Pursue diligently all significant issues and leads discovered that are determined relevant to the investigation, including any evidence of any additional instances of possible misconduct, and continue the investigation to completion.

F. Time for Completion

The investigation is to be completed within one-hundred twenty (120) calendar days of beginning it, including conducting the investigation, preparing the report of findings, providing the draft report for comment and, as required by applicable law or regulation, sending the final report to any sponsoring agency with jurisdiction and authority. However, if the RIO determines that the investigation will not be completed within this time period, as required by applicable law or regulation, he/she will submit to any sponsoring agency with jurisdiction and authority a written request for an extension, setting forth the reasons for the delay. The RIO will ensure that periodic progress reports are filed with such agency, if the agency grants the request for an extension and directs the filing of such reports. If no sponsoring agency is involved, any request for extension of time must be approved in writing by the DO and the respondent notified in writing of such approval.

VIII. The Investigation Report

A. Elements of the Investigation Report

The investigation committee and the RIO are responsible for preparing a written draft report of the investigation that:

1. describes the nature of the allegation of misconduct, including identification of the respondent;
2. describes and documents any relevant external sponsor support, including, for example, the numbers of any grants that are involved, grant applications, contracts, and publications listing the sponsor support;
3. describes the specific allegations of misconduct considered in the investigation;
4. includes the University policies and procedures under which the investigation was conducted;
5. identifies and summarizes the records and evidence reviewed and identifies any evidence taken into custody but not reviewed; and
6. includes a statement of findings for each allegation of misconduct identified during the investigation. Each statement of findings must: (1) identify whether the misconduct was falsification, fabrication, or plagiarism, and whether it was committed intentionally, knowingly, or recklessly; (2) summarize the facts and the analysis that support the conclusion and consider the merits of any reasonable explanation by the respondent, including any effort by respondent to establish by a preponderance of the evidence that the act in question was not misconduct but was instead an honest error or difference of opinion; (3) identify the specific sponsor support; (4) identify whether any publications need correction or retraction; (5) identify the person(s) responsible for the misconduct; and (6) list any current support or known applications or proposals for support that the respondent has pending with any sponsoring agencies.

B. Comments on the Draft Report and Access to Evidence

1. Respondent
   The RIO must give the respondent a copy of the draft investigation report for comment and, concurrently, a copy of, or supervised access to the evidence on which the report is based. The respondent will be allowed thirty (30) calendar days from the date he/she received the draft report to submit comments to the RIO. The respondent's comments must be included and considered in the final report.
2. Complainant
   The RIO must give the complainant a copy of the portions of the draft investigation report that address the claimant's role and opinions in the investigation for comment. The complainant will be allowed thirty (30) calendar days from the date he/she received the draft report to submit comments to the RIO. The complainant's comments must be included and considered in the final report. The complainant shall execute in advance a written confidentiality agreement in a form approved by the Office of the University Attorney as a condition for access to the report.
3. Confidentiality
   In distributing the draft report, or portions thereof, to the respondent, the RIO will inform the recipient of the confidentiality under which the draft report is made available and may establish reasonable conditions to ensure such confidentiality.

C. Decision by Deciding Official

1. The RIO will assist the investigation committee in finalizing the draft investigation report, including ensuring that the respondent's(s') comments are included and considered, and transmit the final investigation report to the DO, who will determine and state in writing: (1) whether the institution accepts the investigation report, its findings, and the recommended institutional actions; and (2) the appropriate institutional actions in response to the accepted findings of research misconduct. If this determination varies from the findings of the investigation committee, the DO will, as part of their written determination, explain in detail the basis for rendering a decision different from the findings of the investigation committee. Alternatively, the DO may return the report to the investigation committee with a request for further fact-finding or analysis.
2. When a final decision on the case has been reached, the RIO will normally notify both the respondent and the complainant in writing. After informing ORI, the DO will determine whether law enforcement agencies, professional societies, professional licensing boards, editors of journals in which relevant reports may have been published, collaborators of the respondent in the work, or other relevant parties should be notified of the outcome of the case. The RIO is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies.

D. Notice of Institutional Findings and Actions

In accordance with applicable law or regulation, unless an extension has been granted, the RIO must, within the 120-day period for completing the investigation, submit the following to any sponsoring agency with jurisdiction and authority: (1) a copy of the final investigation report with all attachments; (2) a statement of whether the institution accepts the findings of the investigation report; (3) a statement of whether the institution found scholarly misconduct and, if so, who committed the research misconduct; and (4) a description of any pending or completed administrative actions against the respondent.

E. Maintaining Records for Review by Sponsoring Agencies

In accordance with applicable law or regulation, the RIO must maintain and provide to any sponsoring agency with jurisdiction and authority upon request records of misconduct proceedings. Unless custody has been transferred to the sponsoring agency or that agency has advised in writing that the records no longer need to be retained, records of research misconduct proceedings must be maintained in a secure manner for seven (7) years after completion of the proceeding or the completion of any sponsoring agency proceeding involving the research misconduct allegation. The RIO is also responsible for providing any information, documentation, research records, evidence or clarification requested by the sponsoring agency to carry out its review of an allegation of research misconduct or of the institution's handling of such an allegation.

IX. Completion of Cases; Reporting Premature Closures to Sponsoring Agencies

Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently. In accordance with applicable law or regulation, the RIO must notify any sponsoring agency with jurisdiction and authority in advance if there are plans to close a case at the inquiry or investigation stage on the basis that respondent has admitted guilt, a settlement with the respondent has been reached, or for any other reason, except: (1) closing of a case at the inquiry stage on the basis that an investigation is not warranted; or (2) a finding of no misconduct at the investigation stage, which must be reported to the sponsoring agency, as prescribed in this policy.

X. Institutional Administrative Actions

If the DO determines that misconduct is substantiated by the findings, they will refer the case to the appropriate Vice Chancellor to decide on the administrative actions to be taken, after consultation with the RIO, the DO, and respective dean and director or chair. The administrative actions may include:

1. Withdrawal or correction of all pending or published abstracts and papers emanating from the research where research misconduct was found;
2. Removal of the responsible person from the particular project, letter of reprimand, special monitoring of future work, probation, suspension, salary reduction, or initiation of steps leading to possible rank reduction or termination of employment;
3. Restitution of funds to the grantor agency as appropriate; and
4. Other action appropriate to the research misconduct, including, but not limited to, the imposition of sanctions, up to and including termination from employment.

Respondent may appeal imposition of sanctions through the appropriate appellate committee as described in the East Carolina University Faculty Manual, Part XII, Section I, subsection III Due Process Before Discharge or Imposition of Serious Sanctions or, if discharge or serious sanctions are not imposed, through East Carolina University Faculty Manual, Part XII, Section II Faculty Grievance Procedures and Appeals of Non-Conferral of Early Tenure.

XI. Other Considerations

A. Termination or Resignation Prior to Completing Inquiry or Investigation

1. The termination of the respondent's institutional employment, by resignation or otherwise, before or after an allegation of possible research misconduct has been reported, will not preclude or terminate the research misconduct proceeding or otherwise limit any of the University's responsibilities to investigate the alleged misconduct.
2. If the respondent, without admitting to the misconduct, elects to resign his or her position after the University receives an allegation of misconduct, the assessment of the allegation will proceed, as well as the inquiry and investigation, as appropriate based on the outcome of the preceding steps. If the respondent refuses to participate in the process after resignation, the RIO and any inquiry or investigation committee will use their best efforts to reach a conclusion concerning the allegations, noting in the report the respondent's failure to cooperate and its effect on the evidence.

B. Restoration of the Respondent's Reputation

Following a final finding of no misconduct, including concurrence of any sponsoring agency with jurisdiction and authority where required by law or regulation, the institution must undertake reasonable and practical efforts to restore the respondent's reputation. Depending on the particular circumstances and the views of the respondent, the RIO should consider notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of misconduct was previously publicized, and expunging all reference to the misconduct allegation from the respondent's personnel file. Any actions by the RIO to restore the respondent's reputation should first be approved by the DO.

C. Protection of the Complainant, Witnesses and Committee Members

During the research misconduct proceeding and upon its completion, regardless of whether the institution determines that research misconduct occurred, the RIO must undertake all reasonable and practical efforts to protect the position and reputation of, or to counter potential or actual retaliation against, any complainant who made allegations of research misconduct in good faith and of any witnesses and committee members who cooperate in good faith with the research misconduct proceeding. The DO will determine, after consulting with the RIO, and with the complainant, witnesses, or committee members, respectively, what steps, if any, are needed to restore their respective positions or reputations or to counter potential or actual retaliation against them. The RIO is responsible for implementing any steps the DO approves.

D. Allegations Not Made in Good Faith

If relevant, the DO will determine whether the complainant's allegations of misconduct were made in good faith, or whether a witness or committee member acted in good faith. If the DO determines that there was an absence of good faith he/she will refer the matter to the appropriate Vice Chancellor to determine whether any administrative action should be taken against the person who failed to act in good faith.

E. Other Considerations

Respondent may appeal imposition of Institutional sanctions through the appropriate appellate committee as described in the East Carolina University Faculty Manual, Part XII, Section I, subsection III Due Process Before Discharge or Imposition of Serious Sanctions or, if discharge or serious sanctions are not imposed, through East Carolina University Faculty Manual, Part XII, Section II Faculty Grievance Procedures and Appeals of Non-Conferral of Early Tenure.

Related Policies:
UNC Policy Manual 500.7
REG02.07.11 University Regulation on Academic Integrity

East Carolina University Faculty Manual Part VI, Section II Summary of Academic Integrity Violation (AIV) Regulations and Procedures at East Carolina University

Additional References:
National Science Foundation Research Misconduct Regulation 45 CFR 689
Public Health Service Research Misconduct Regulation 42 CFR 93
Research Compliance Administration Website

(FS Resolution #13-63, April 2013)

Part VIII, Section I: Personnel Policies and Procedures for the Faculty of East Carolina University

CONTENTS

1. Selection and Appointment of New Faculty
   1. Determination of Number and Nature of Positions
   2. Selection Procedure
   3. General Criteria
   4. Requirements for ranks and titles
   5. Initial Appointment
2. Faculty Workload and Annual Work Plan
   1. Teaching
   2. Research/Creative Activity
   3. Service
   4. Patient Care and Related Clinical Responsibilities
3. Annual Evaluation
4. Faculty Success Plan
5. Reappointment of Probationary Term Faculty Members
6. Subsequent New Appointments of Fixed-Term Faculty Members
7. Professional Advancement
8. Salary
   1. Initial Salary
   2. Determination of Annual Salary Increments
   3. Benefits and Salary Increases for Fixed-Term Faculty
9. Faculty Personnel Files
10. Amendment Procedure
11. Effective Date

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I. Selection and Appointment of New Faculty

1. Determination of Number and Nature of Positions
   Since faculty members of each academic unit are responsible for the curriculum, they shall make recommendations on the personnel needs of the unit. All faculty appointments shall be initiated by a recommendation of the Unit Personnel Committee unless otherwise specified in the Unit Code (FS Resolution #20-57, November 2020).
   
   Acting in accord with the policies and procedures set forth in the Unit Code, the unit administrator shall recommend, with input from the faculty, to the next higher administrator (for conveyance to the Academic Council) the number and nature of faculty positions needed to carry out the unit’s mission and achieve the university, division, college and unit planning goals. Such recommendations shall contain justifications addressing the unit staffing plan and appropriate planning goals of the university, division, college, and unit.
   
   Allocation of faculty positions is the prerogative of the Academic Council. The deans and directors shall determine the distribution of positions within their college and schools in accordance with strategic priorities.
   
   The system of academic tenure serves the interests of East Carolina University by safeguarding academic freedom and ensuring the open inquiry and expression that are essential for student learning and the advancement of knowledge. As such, tenured and probationary term (tenure-track) positions are preferred unless sound reasons exist for fixed-term appointments. Such reasons include, but are not limited to; (a) the position is not permanently assigned to the unit, (b) the position is addressing temporary needs, (c) the position cannot be filled by a faculty member with a terminal degree, (d) the duties of the position are primarily clinical, (e) the position is by its nature term-limited (term-limited endowed professorships, for example), (f) this reflects the preference of the faculty member taking the position, or (g) budgetary or strategic considerations.
2. Selection Procedure The selection of candidates must be conducted in accordance with the University’s “Recruitment, Guidelines and Resources” policies, Part IX, Section I. Appointment, Tenure, Promotion, Subsequent Appointment and Advancement Policies and Procedures, and applicable unit code provisions.
3. General Criteria
   ECU is committed to recruiting, retaining, and developing faculty members that are highly accomplished in teaching and scholarship, including research and creative activities, clinical and patient care responsibilities, and in librarianship when appropriate.
   
   ECU defines faculty responsibilities as follows:
   1. Teaching
      East Carolina University recognizes the primary importance of teaching. East Carolina University expects each member of the faculty to have knowledge of subject matter commensurate with one's teaching assignment, to maintain awareness of developments in one's discipline, and to communicate to students one's knowledge of and interest in the discipline. The faculty member will encourage students in responsible and careful inquiry, in appreciation of the interrelation of various disciplines, and in recognition of the uses of learning and the value of the educated mind. Teaching includes instructional activities and responsibilities beyond the classroom setting, e.g., advisement; mentoring; laboratory supervision; clinical rounds by a physician/professor accompanied by students; program direction; the direction of research projects and papers, dissertations, and theses; and other contacts and relationships outside the classroom.
   2. Scholarship
      Scholarship refers to the scholarship of research, the scholarship of creative activity/innovation, and the scholarship of engagement and/or outreach. All tenured and probationary (tenure-track) faculty members are expected to engage in research and creative activities that align with the institution’s mission, and strengthen the academic programs and disciplines.
   3. Service to the university, the profession, and the community
      East Carolina University considers service to the university, the academic profession, and the community as an important aspect of a faculty member’s contribution. Expectations for service shall be described in the unit code. (See Section III.4). Faculty members’ on-campus presence is expected to the extent necessary in the performance of these responsibilities.
   4. Patient care and related clinical responsibilities, as appropriate.
   5. Librarianship in support of the academic mission of the University, as appropriate.

1. Tenured or Probationary-Term Positions
   A candidate who is under consideration for a tenured or probationary-term position is evaluated on past achievements and potential for future contributions in teaching, scholarship, service, and, if applicable, contributions to patient care and related clinical responsibilities.
2. Fixed-Term Positions
   A candidate who is under consideration for a fixed-term position is evaluated on past achievements and potential for future contributions in the areas of responsibility stated in the advertisement for the position and established in the unit code.
   
   In cases where the position fulfills an ongoing unit need, adequate funding exists, and the candidate has demonstrated professional achievement, a multi-year contract should be considered.

4. Requirements for ranks and titles
   1. General Provisions
      Appointments are made at the academic ranks of assistant professor, associate professor, and professor. These are the only ranks that may involve a permanent tenure commitment. Appointments to all other titles are for a definite term and do not involve a permanent tenure commitment.
      
      The following are the minimum required qualifications that may be considered when making appointments.
   2. Ranks of Probationary Term Appointments
      • Assistant Professor
        • has demonstrated potential for effective teaching and other instructional responsibilities
        • has demonstrated potential to develop a program of scholarship that will lead to professional recognition in the discipline
        • has demonstrated effective clinical practice in disciplines, where appropriate
        • holds the appropriate terminal degree (ABD may be considered for initial appointment) or alternate professional qualifications as determined by the units and the profession and affirmed by the appropriate vice chancellor
        • exhibits evidence of potential for professional growth in teaching effectiveness and scholarship
        • has demonstrated ability and willingness to participate in departmental, college, and university affairs
        • has demonstrated active engagement with professional organizations within the discipline
      • Associate Professor
        • has qualifications of the previous rank
        • has demonstrated effectiveness in teaching and/or other instructional responsibilities
        • has a record of scholarship resulting in publication and/or scholarly productivity appropriate to the discipline and established by the unit code
        • has a demonstrated record of effective service/clinical practice to the university
        • has a demonstrated record of effective service to the profession
      • Professor
        • has qualifications of the previous rank
        • has an established record of excellence in teaching and other instructional responsibilities
        • has a significant record of scholarship resulting in publication and/or other scholarly productivity appropriate to the discipline and established in the unit code.
        • has demonstrated excellent ability and willingness to participate in departmental, college, and university affairs
        • has a demonstrated record of significant service/clinical practice to the university and the discipline, where appropriate
          
   3. Titles of Fixed-Term Appointments
      Initial appointment as a fixed-term faculty member may be at any title and is
      dependent upon the individual’s qualifications. A faculty member may elect but is not required to seek advancement in title during their career at East Carolina
      University.
      1. Faculty members with duties primarily in instruction. Teaching Faculty support the academic mission of the University through instruction, advising, curriculum development, and other instructional activities. Teaching Faculty may engage in research and service activities if desired. Research and service activities should be stipulated in their appointment letter and unit workload assignment.
         • Teaching Instructor
           • holds, at a minimum, a master’s degree appropriate to the area of instruction, or has equivalent professional qualifications
           • has demonstrated potential for effective teaching and/or other instructional responsibilities
             Appointment to the title of Teaching Instructor may be made for a fixed term of up to three years.
         • Senior Teaching Instructor
           This title is normally appropriate for a Teaching Instructor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has consistently demonstrated effective teaching and/or other instructional responsibilities
           • engages in professional development or professional service activities
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
         • Master Teaching Instructor
           This title is normally appropriate for a Senior Teaching Instructor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • Has demonstrated excellence in teaching
           • Has established an excellent professional reputation among colleagues
           • Is qualified and competent in mentoring others (such as students, instructors, etc.)
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
         • Teaching Assistant Professor
           • holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned
           • has demonstrated effectiveness in teaching
             Appointment to the title of Teaching Assistant Professor may be made for a fixed-term of up to three years.
         • Teaching Associate Professor
           This title is normally appropriate for a Teaching Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has consistently demonstrated effective teaching and/or other instructional responsibilities
           • engages in professional development or professional service activities
             In recognition of the ongoing record of achievement represented by this title, appointment will typically be of three to five years.
         • Teaching Professor
           This title is normally appropriate for a Teaching Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has demonstrated excellence in teaching
           • has established an excellent professional reputation among colleagues
           • is qualified and competent in mentoring others (such as graduate students, teaching instructors, etc.)
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
             
      2. Faculty members with duties primarily in research
         Research Faculty contribute to the mission of the University primarily by engaging in scholarly or creative activity and/or supporting grants and contracts. Associated instructional responsibilities will be at the discretion of the unit and dependent upon the availability of funds. Research Faculty members are typically funded externally.
         • Research Instructor
           • holds a minimum of a master’s degree appropriate for the specific position or has equivalent professional qualifications.
           • has demonstrated potential for effective scholarly or creative endeavors
         • Research Assistant Professor
           • holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned
           • has demonstrated effectiveness in research and/or in other scholarly or creative endeavors
         • Research Associate Professor
           • has qualifications of the previous title or equivalent professional qualifications
           • has extensive successful experience in scholarly or creative endeavors
           • engages in professional development or professional service activities
         • Research Professor
           • has qualifications of the previous title or equivalent professional qualifications
           • has demonstrated excellence in scholarly production in research, publications, professional achievements, or other distinguished and creative activity
           • has established an excellent reputation among colleagues
           • has attained national or international recognition as an authority and leader in an area of specialization
           • has a sustained and substantive record of scholarship/creative activity
      3. Faculty members with duties primarily in clinical teaching
         Clinical Faculty engage in professional practice or service activities that support the teaching and/or supervision of students in academic, clinical or field settings.
         • Clinical Instructor
           • holds, at a minimum, a graduate degree appropriate for the specific position or has equivalent professional qualifications
           • has demonstrated potential in clinical practice and teaching in the field
             Appointment to the title of Clinical Instructor may be made for a fixed term of up to three years.
         • Clinical Assistant Professor
           • holds the appropriate professional degree, or equivalent professional qualifications as determined by the academic unit, the appropriate vice chancellor and the profession concerned
           • has training and experience in an area of specialization
           • has demonstrated expertise in clinical practice and teaching and other instructional responsibilities in the discipline
             Appointment to the title of Clinical Assistant Professor may be made for a fixed term of up to three years.
         • Clinical Associate Professor
           This title is normally appropriate for a Clinical Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has demonstrated extensive successful experience in clinical or professional practice in an area of specialization, or in a subdivision of the specialty area, and in working with and/or directing others (such as professionals, faculty members, graduate students, etc.) in clinical activities in the field
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
         • Clinical Professor
           This title is normally appropriate for a Clinical Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has established an outstanding reputation of excellence in clinical practice and teaching and/or other instructional responsibilities
           • has established an excellent professional reputation among colleagues
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
      4. Faculty members with duties primarily in the libraries
         Library Faculty support the academic mission of the University through effective librarianship and where appropriate by engaging in instruction, research/creative activity, and service in support of the ECU Libraries and the profession.
         • Library Assistant Professor
           • holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned
           • has demonstrated evidence of, or potential for, the following: effective teaching and/or other professional responsibilities; service to the Library; service to the University, and/or to the profession; a record of contributions to scholarship/creative activity, if applicable
             Appointment to the title of Library Assistant Professor may be made for a period of up to five years.
         • Library Associate Professor
           This title is normally appropriate for a Library Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has demonstrated: substantive accomplishments in the performance of professional duties; collegiality and professional integrity; substantial and continued professional growth, and sustained institutional and professional service
           • has a record of regular contributions to scholarship/creative activity
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
         • Library Professor
           This title is normally appropriate for a Library Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria:
           • has qualifications of the previous title
           • has demonstrated: sustained and substantive accomplishments in professional performance
           • has demonstrated: superior knowledge and mastery of assigned area of specialization; and exemplary institutional and professional service;
           • has attained national or international recognition as an authority and leader in the assigned area of specialization;
           • has a sustained and substantive record of scholarship/creative activity
             In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.
      5. Additional faculty titles
         Adjunct Instructor; Adjunct Assistant Professor; Adjunct Associate Professor; Adjunct Professor: These titles are used to appoint outstanding persons who have a primary employment responsibility outside the university or in a different department in the university and who bring some specific professional expertise to the academic program. These positions are typically unfunded.
         
         Affiliate Instructor; Affiliate Assistant Professor; Affiliate Associate Professor; Affiliate Professor: These titles are used in the to appoint outstanding persons who have a primary employment responsibility outside the university and who bring some specific professional expertise to the academic program. Affiliate appointments are for a limited term and are typically unfunded.
         
         Artist-in-Residence; Writer-in-Residence: These titles are used to designate temporary appointments, at any salary and experience level, of persons who are serving for a limited time or part-time and who are not intended to be considered for professorial appointment.
         
         Visiting Instructor; Visiting Assistant Professor; Visiting Associate Professor; Visiting Professor. The prefix “visiting” before an academic title is used to designate a short-term full-time or part-time appointment without tenure. Therefore, the visiting title shall not be used for periods of time beyond the initial contract period. It shall be used only for those fixed-term faculty members who are visitors, temporary replacements, or for whose disciplines the institution in good faith expects to have only a short-term need. Use of the visiting title for an individual for more than 3 years is a misuse of this title.
   4. Emeritus status
      All unit codes must specify criteria for conferring of “emeritus” or “emerita” status. Based on those criteria specified in the unit code and the recommendations of the unit personnel committee and appropriate administrators, the Chancellor may confer the title emeritus or emerita upon a faculty member who has made a significant contribution to the university through a long and distinguished record of scholarship, teaching, and/or service, and who is a) retired (including Phased Retirement participant), b) permanently disabled, or c) deceased.
5. Initial Appointment
   [For additional provisions related to initial faculty appointments, see East Carolina University Faculty Manual, Part IX, Section I (II).]
   
   Appointment to the faculty is made by the Chancellor or the Chancellor’s designee. Upon receiving recommendations by appropriate unit committees and administrators, the Chancellor or their designee shall issue an appointment letter to the faculty candidate. No offer is binding and no appointment is effective until signed by the Chancellor or the Chancellor’s designee and subsequently signed by the faculty appointee.
   
   The appointment letter shall specify, at minimum: rank or title; salary rate; length of appointment, tenure status [either fixed-term, probationary-term, or appointment with permanent tenure, as defined in the Faculty Manual, Part IX]; initial assignments and/or responsibilities; reference to the criteria for evaluation of faculty performance, as provided in Part IX, unit codes, and other appropriate documents; and any specific terms and conditions of employment.
   
   Any action conferring permanent tenure with the initial faculty appointment requires approval of the Board of Trustees.

II. Faculty Workload and Annual Work Plan

Faculty workload is governed by Section 400.3.4 of the UNC Policy Manual, titled "Policy on Faculty Workload" and ECU POL02.07.06.

Full-time (1.0 FTE) faculty members who are appointed for longer than one year including those serving in administrative roles, will develop an annual work plan for the coming academic year in collaboration with their unit administrator. For purposes of this process, the unit administrator is the department chair or director.

Each work plan should account for 1.0 FTE through assigned duties in teaching, research/creative activity, service, administrative, and or patient care and related clinical responsibilities, as appropriate. In addition, the plan should align with the needs of the unit, college, school, or university, and the missions of the unit and university.

The process for determining the relative weight given to teaching, service, and where appropriate, research/creative activity and/or patient care and clinical responsibilities shall be contained in unit Faculty Workload Guidelines (see East Carolina University Faculty Manual, Part IV, Section II, Subsection VI).

The work plan should include (1) the percentage of the workload that will be dedicated to teaching, research/creative activity, service, and/or patient care and clinical responsibilities, totaling one hundred percent; and (2) anticipated outputs a faculty member is expected to complete in the coming academic year, with a clear linkage towards long-term evaluation and facilitation of career progression (e.g. reappointment, tenure, promotion, post-tenure review, subsequent appointment, advancement in title).

Some activities may be reasonably included in different categories. For example, service on a thesis committee may be reasonably be either "service" or "teaching" depending on the role the faculty member plays; mentoring may be reasonably be captured as "teaching," "research/creative activity," or "service" depending on the contexts.

The work plan shall:

• be in writing;
• be developed in collaboration and discussed between the faculty member and the unit administrator before being sent to another administrator or placed in the faculty member's personnel file; in the case of faculty members with probationary term appointments, a record of this discussion shall be placed in the faculty member's personnel file;
• be signed and dated by the unit administrator and the faculty member.

The unit administrator shall forward to each faculty member a copy of that member's work plan within ten calendar days of completing the work plans of unit members.

The faculty member has seven working days after receiving the work plan to attach a statement.

If the faculty member agrees with the plan, the plan will be sent to the next higher administrator for approval.

In the case that the unit administrator and the faculty member disagree on the work plan, the faculty member may propose their own plan. If no compromise can be reached, the unit administrator shall provide copies of both plans to the next higher administrator, who after reviewing both plans shall decide on the faculty's work plan. The decision shall be reported in writing to the unit administrator and the faculty member.

If during the course of the next academic year there is a need to change the faculty work plan, a new work plan will be created according to the process outlined above.

1. Teaching
   As teaching and instruction are the primary mission of the university, teaching shall serve as the first component of determining faculty workload expectations. The unit administrator works with the faculty member in determining the teaching responsibilities and the method of delivery. If changes in a faculty member's assignment subsequently become necessary, the faculty member shall be notified at the earliest possible opportunity and any necessary amendments to the work plan should be documented in writing according to the process outlined above. In general, a teaching load of 24 credit hours or contact hours equivalents per year, along with other routine teaching-related duties constitutes a full workload and a 1.0 FTE appointment. The definition of a semester credit hour is governed by PRR #02.07.01.
   
   Faculty members holding additional responsibilities for research/creative activity, administrative duties, service, and/or patient care and clinical responsibilities as identified in their annual work plan can have their teaching workload adjusted on a commensurate basis in line with unit standards.
   
   If exceptional circumstances require that a faculty member be assigned more than the equivalent of 12 credit hours in a semester, they should be appropriately compensated for the excess teaching load during that term or be given the equivalent reduced teaching load at a time to be negotiated between the unit administrator and the faculty member. If neither of those options is feasible, a unit administrator should credit the faculty member in the appropriate category of their annual evaluation.
   
   Consistent with Part VI, Section I.II., faculty members teaching one or more courses must maintain five hours of office hours during the workweek. The means by which the faculty member holds office hours must be appropriate to the delivery mode of their courses.
2. Research/Creative Activity
   Research/creative activity supports the institution's mission, and as such should be identified in the annual work plan of faculty who engage in research/creative activity, and the teaching portion of their workload should be adjusted on a commensurate basis in line with unit standards. Faculty shall engage in research/creative activity that reflects the high professional standards incumbent upon those who enjoy full academic freedom; such activities must be measured by standards of quality, not merely by quantity, as appropriate to the discipline. Faculty members shall fulfill their scholarly responsibilities as outlined in the unit code and consistent with their work plan.
3. Service
   Service is central to the mission of ECU, and as such, faculty members are expected to serve in a range of service roles int eh department/program, the college, the university, the profession and/or the community in consultation with their unit administrator. These roles may include formal service in committees, mentoring students or colleagues, etc.. Faculty members are expected to actively participate in the life of their unit, be physically present on campus to the extent necessary to discharge their particular service duties, and to carry their assigned and assumed duties necessary for the effective and equitable operation of the unit. Faculty members engaged in extraordinary service, according to their unit standards, should have the teaching portion of their workload adjusted on a commensurate basis.
4. Patient Care and Related Clinical Responsibilities, as appropriate
   Standards are described in the unit code.
   

III. Annual Evaluation

Each faculty member with a probationary term, permanently tenured, or fixed-term appointment shall perform their duties according to ECU’s Statement on Professional Ethics and shall receive annually an evaluation of their performance from the unit administrator. The annual evaluation of a faculty member performance shall employ the criteria outlined in the unit code. A faculty success plan, as described below, is required for a faculty member whose performance does not satisfy expectations. Exclusive of administrative duties, in no case shall service be weighed more heavily than either teaching, research/creative activity, or patient care and related clinical responsibilities (if applicable).

The annual evaluation shall be a review of the faculty member's previous work plan if one is required. The annual evaluation shall include ratings and summarize the faculty member's performance in each category of responsibility as "exceeds expectations," "meets expectations," or "does not meet expectations," and shall conclude with an overall rating.

This annual evaluation shall:

• be in writing;
• be discussed with the faculty member prior to being sent to any other administrator or placed in the faculty member's personnel file; in the case of faculty members with probationary term appointments, a record of this discussion shall be placed in the faculty member's personnel file;
• be signed and dated by the unit administrator and the faculty member, who may attach to the evaluation a concise comment regarding the evaluation. The faculty member has seven working days after receiving the evaluation to attach the statement. The signature of the faculty member signifies that they have read the evaluation, but it does not necessarily indicate concurrence.

The unit administrator shall forward to each faculty member a copy of that member's annual evaluation within ten calendar days of completing the evaluations of unit members.

In accordance with UNC Policy Manual and Code Chapter VI, 100.1 (Academic Freedom and Tenure within the University of North Carolina), the University of North Carolina System supports and encourages freedom of inquiry for faculty members, 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. Therefore, the annual evaluation shall consider, as appropriate:

1. Teaching
   Teaching is the primary function of the university. Teaching includes instruction in the classroom, laboratory, clinic, studio, online, or abroad; student advising, mentoring student research, directing students in co-curricular activities, supervision of students, and other pedagogical activities. Unit codes should define these criteria, and relative importance, in detail.
   
   Teaching effectiveness shall be assessed using multiple inputs during the period under review. At the minimum, the inputs shall consist of: (1) student feedback, and (2) self-assessment. Peer assessment of teaching is also mandatory in instances described in Faculty Senate resolution #24-52.
   1. Student Feedback.
      Student feedback includes but is not limited to:
      1. University-approved student evaluations of the course and instructor from the prior academic year's spring and summer semester and the current academic year's fall semester
      2. Other student feedback enabled by the unit code.
   2. Self Assessment.
      Self-assessment must include a summative review of the faculty member's teaching during the period under review and shall identify future formative strategies to continue developing skill in teaching.
      
   3. Peer assessment is a mandatory part of evaluation of teaching as detailed in Faculty Senate resolution #24-52. Peer assessment includes but is not limited to:
      1. Formal peer observation of teaching as detailed in Faculty Senate resolution #24-52.
      2. Documented review of teaching portfolios.
      3. Documented discussions regarding pedagogical goals and methods.
      4. Other peer assessment enabled by the unit code.
   4. Additional inputs to assess teaching effectiveness include but are not limited to:
      1. Instructional Materials
         1. Syllabus, including the course description, student learning outcomes, and course requirements.
         2. Student assignments, examinations, and other materials relevant to teaching.
         3. New or revised course materials.
         4. Examples of student work, such as tests, exams, quizzes, assignments, projects, papers, juries, or other examples of student achievement.
         5. Grade distributions.
         6. Evidence of pedagogical innovations in response to feedback and/or to promote student success.
      2. Direct observation of teaching (synchronous or asynchronous) by the unit administrator.
      3. Quantitative measures of instruction, including but not limited to:
         1. Courses taught and number of students taught.
         2. Numbers of undergraduate, master's, doctoral, post-doctoral students, and students supervised in the clinic.
         3. Number of master's theses and doctoral dissertations directed.
         4. Number of memberships on doctoral dissertation and master's and honors research committees.
         5. Number of honors research projects and theses supervised.
         6. Number of honors courses taught.
         7. Number of undergraduate research projects, directed readings, and independent studies supervised.
      4. Impact of scholarly activity on improving the quality of instruction at ECU or elsewhere
         1. Awards and honors recognizing excellence in teaching.
         2. Grants to support instructional activities and programs; if the activities are collaborative, the faculty member's distinctive contribution must be defined.
         3. Recognition by professional organizations for leadership in educational endeavors.
         4. Teaching workshops conducted.
         5. Publication of scholarly articles addressing pedagogy (if not classified as Scholarship in the unit code or discipline).
         6. State, regional or national leadership roles related to education.
         7. Invitations from other institutions to serve as an education consultant.
         8. Continuing education courses taught.
         9. Evidence of leadership and scholarly engagement in the development of pedagogy.
         10. Scholarly reputations of journals and publishers of teaching publications.
         11. Evidence that contributions to teaching are being adopted or are affecting teaching.
         12. Evidence of impact on the professional careers of others (e.g., former students, junior faculty, colleagues).
             
             Student complaints may not be used to evaluate a faculty member unless they have been addressed under the provisions of East Carolina University Faculty Manual, Part VI, Section IV, subsection III, which defines faculty members' due process rights. (FS Resolution #19-09, February 2019)
2. Research/Creative Activity
   Measures of success in the area of scholarship include, but are not limited to, peer-reviewed publications, books, presentations, performances, patents, and national awards, including both honorary awards and competitively awarded external funding as appropriate to the discipline. These measures, and particularly national awards that recognize prominence in the discipline, will be positively reflected in annual evaluations and other personnel actions. Unit codes should define these criteria, and relative importance, in detail.
3. Patient Care and Related Clinical Responsibilities
   Unit codes will describe expectations for clinical services and criteria for evaluation.
4. Service
   Service on department, school, college, and university committees, councils, and senates; service to professional organizations; service to local, state and national governments; contributions to the development of public forums, institutes, continuing education projects, patient services and consulting in the private and public sectors. Unit codes should define these criteria, and relative importance, in detail.
5. Other assigned responsibilities.

IV. Faculty Success Plan

For faculty members who do not meet expectations as outlined in their annual faculty work plan, documentation in the form of a Faculty Success Plan will be included as a part of their annual evaluation. This Faculty Success Plan will be created by the unit administrator in collaboration with the faculty member and will:

• be in writing;
• include specific steps designed to lead to improvement;
• include a specific timeline in which improvement is expected to occur;
• a clear statement of consequences if steps are not met within specified timeline;
• peer mentoring is encouraged as part of the faculty success plan;
• progress meetings with the department chair/academic unit head shall occur on at least a semi-annual basis during the specified timeline.

If a faculty member does not agree to the implementation of a faculty success plan, they may appeal in accordance with the provisions of the grievance procedure of Part XII, Section I, as appropriate.

V. Reappointment of Probationary-Term Faculty Members

Refer to Part IX of the East Carolina University Faculty Manual.

VI. Subsequent appointments of Fixed-Term Faculty Members

Refer to Part IX of the East Carolina University Faculty Manual.

VII. Professional Advancement

Promotion for tenured and probationary-term faculty members and advancement in title for fixed-term faculty members are means through which professional achievement is encouraged, recognized, and rewarded by the university. The evaluation of faculty members for purposes of promotion or advancement in title shall accord with the regulations established in the unit code and shall employ the criteria contained in the unit code approved by the Chancellor (East Carolina University Faculty Manual, Part IV).

Specific regulations and criteria governing evaluation of faculty for purposes of promotion or advancement in title may vary from unit to unit.

As a minimum, each unit shall:

• apply published criteria in teaching, scholarship, service, and clinical service, where relevant to the discipline, for evaluating faculty for promotion or advancement in title;
• make available procedures which will permit each faculty member to report achievements annually or on a more frequent basis; and
• inform each faculty member of the right to discuss his or her candidacy with the unit administrator and/or the appropriate unit committee at any time prior to the deadline for submission of materials.

Upon request by a faculty member, the unit administrator and the appropriate unit committee shall evaluate the faculty member for promotion to the next rank or for advancement in title. Procedures to be followed for promotion or advancement in title are found in East Carolina University Faculty Manual, Part IX and Part X.

Promotion in rank and advancement in title should be accompanied by a salary increment, which shall be separate from any and all other increments to which the individual may be entitled, unless the State of North Carolina or University of North Carolina regulations state otherwise.

VIII. Salary

1. Initial Salary
   Initial salary shall be based on degree attainment, academic rank, pertinent professional experience and qualifications, scholarly publication or its equivalent, and level of responsibility. Consideration should be given to the salaries of personnel presently in the unit and must be consistent with University-established faculty salary ranges.
2. Determination of Annual Salary Increments
   The unit administrator shall recommend annual salary increments to the appropriate administrative officials in accordance with requirements imposed by the North Carolina General Assembly, The University of North Carolina Board of Governors, the ECU Board of Trustees, and the university administration. Recommended salary adjustments shall rely upon criteria that have been established in the East Carolina University Faculty Manual, in unit codes, or in guidelines referenced in unit codes. Criteria for assessing merit are contained in unit codes. The unit administrator shall also inform the unit, in dollar amounts and percentages, the total adjustment, mean salary increment, and range in salary increments for the unit. Each faculty member shall be informed by the unit administrator of any salary increment recommendations made on behalf of the faculty member.
3. Benefits and Salary Increases for Fixed-Term Faculty
   When salary increments are provided by the Board of Governors, all full-time fixed-term faculty members who have completed one year of employment and have received a subsequent appointment shall be considered for a salary increase based upon their annual evaluation and criteria established by the Board of Governors, ECU Board of Trustees, and the unit code.
   
   Full-time, fixed-term permanently appointed faculty members are entitled to those benefits that are provided to other full-time permanent faculty employees of ECU, unless State of North Carolina or University of North Carolina regulations state otherwise.

IX. Faculty Personnel Files

1. Article 7 of Chapter 126 of the General Statute of North Carolina shall govern matters relating to an employee’s personnel file, its contents, and permissible access. Current General Statutes may be requested through the Office of University Counsel (formerly, the University Attorney) or through references in Joyner Library.
   
   For questions regarding personnel file, contact the Faculty Senate Office, the appropriate Division Vice Chancellor, or the University Counsel Office.
2. Definition
   “Personnel File” means any employment-related or personal information gathered by an employer or by the Office of State Human Resources. Employment-related information contained in a personnel file includes information related to an individual’s application, selection, promotion, demotion, transfer, leave, salary, contract for employment, benefits, suspension, performance evaluation, disciplinary actions, and termination. Personal information contained in a personnel file includes an individual’s home address, social security number, medical history, personal financial data, marital status, dependents, and beneficiaries. “Record,” as used in this Part VIII of the Faculty Manual, means the personnel information that each employer is required to maintain in accordance with G.S. 126-123.
   
   The Personnel Action Dossier (PAD) and Portfolios for Advancement in title are evaluative documents, employment-related personnel information, and a part of the faculty member’s personnel file. The personnel file is University property and is retained by the University.
   
   Contents of the personnel file are kept in accordance with the Records Retention and Disposition Schedule approved by the Chancellor. Timing of storage and transfer vary depending on the specific type of document. Please refer to the following websites for
   additional information: Records Retention and Disposition Schedule for the Institutions of the University of North Carolina System (PDF) and ECU Records Management.
3. Location
   Personnel records exist in various locations across campus. Academic Affairs and the Health Sciences divisions will maintain comprehensive lists of locations where files may be found on a website accessible to faculty members. The Faculty Senate office can direct faculty members to the appropriate website.
   
   All records used in the formal evaluation of faculty members should be located in the primary collection of documents that are kept in the department or unit that are part of the personnel file, hereafter referred to as the department/unit personnel file. The unit administrator can inform the faculty member of the location of evaluative material.
   
   An appeal hearing file or an investigative file prepared by the EEO Office or by the Office of University Counsel may include materials such as: filed grievances; appeals of non-reappointment or non-conferral of tenure; complaints filed by or against a faculty member with the ECU EEO Office alleging sexual harassment, discrimination based on race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status ("Protected Class"), or a violation of the amorous relations policy; and records relating to any disciplinary action against a faculty member.
   
   Information retained in the EEO Office or the University Counsel’s Office will remain confidential, but the documents collected and/or created in those offices are usually considered part of an investigative/preparation file and are not considered part of the department/unit personnel file. Disclosure of documents in those files is subject to applicable University policies and state laws. Additionally, in accordance with the relevant University policy and state laws, the University will formally notify the faculty member of any complaint or grievance formally filed against a faculty member and will follow the procedures prescribed for due process. In most cases, documents containing employment-related or personal information maintained in the EEO Office or University Counsel’s Office will be duplicates of documents in the department/unit personnel file. In all cases, the documents in those files will be available for review by the faculty member, except that the University does not waive rights and responsibilities to limit disclosure recognized by law, including but not limited to attorney-client communication privilege and attorney work product privilege.
4. Content
   State law requires that the University permit the public to have access to the following employment related information about each employee:
   • name;
   • age;
   • date of original employment or appointment to state service;
   • the terms of any contract by which the employee is employed whether written or oral, past and current, to the extent that the university has the written contract or a record of the oral contract in its possession;
   • current position;
   • title;
   • current salary;
   • date and amount of each increase or decrease in salary with the university;
   • date and type of each promotion, demotion, transfer, suspension, separation, or other change in position classification with the university;
   • date and general description of the reasons for each promotion with the university;
   • date and type of each dismissal, suspension, or demotion for disciplinary reasons taken by the university. If the disciplinary action was a dismissal, a copy of the written notice of the final decision of the Chancellor setting forth the specific acts or omissions that are the basis of the dismissal; and
   • the office to which the employee is currently assigned.
     
     To the extent allowed by applicable law (e.g., Article 7 of Chapter 126 of the General Statutes of North Carolina), all other information contained in the personnel file is confidential and shall not be open for inspection and examination except to the following persons:
     1. The employee, applicant for employment, former employee, or his or her properly authorized agent, who may examine his or her own personnel file in its entirety except for (i) letters of reference solicited prior to employment or (ii) information concerning a medical disability, mental or physical, that a prudent physician would not divulge to a patient. An employee's medical record may be disclosed to a licensed physician designated in writing by the employee;
     2. The supervisor of the employee;
     3. A potential state or local government supervisor, during the interview process, only with regard to the performance management documents;
     4. Members of the General Assembly who may inspect and examine personnel records under the authority of G.S. 120-19;
     5. A party by authority of a proper court order may inspect and examine a particular confidential portion of a State employee's personnel file; and
     6. An official of an agency of the federal government, state government, or any political subdivision thereof. Such an official may inspect any personnel records when such inspection is deemed by the department head of the employee whose record is to be inspected or, in the case of an applicant for employment or a former employee, by the department head of the agency in which the record is maintained as necessary and essential to the pursuance of a proper function of said agency; provided, however, that such information shall not be divulged for purposes of assisting in a criminal prosecution, nor for purposes of assisting in a tax investigation; and
     7. Any person or corporation to which the Chancellor determines release of such information is essential as allowed by General Statute §126-24.
        
        Evaluative materials or summaries thereof prepared by peer committees as part of a regular evaluation system are placed in the department/unit personnel file when signed by a representative of the committee, including official copies of Personnel Action Dossiers for tenure and promotion of tenured and probationary faculty and Portfolios for advancement in title of fixed-term faculty, as outlined in Part X of the East Carolina University Faculty Manual. This includes documentation submitted by faculty members for consideration in the tenure, reappointment, promotion, and advancement in title processes. These documents shall reside in the department/unit personnel file.
        
        No material obtained from an anonymous source shall be placed in the personnel file except for data from student opinion surveys. Data from student opinion surveys shall be submitted by the authorized surveying agent to the faculty member and the unit administrator. Administrators shall not keep secret files.
        
        A faculty member who objects to material in the department/unit personnel file or other employment-related or personal information contained in the personnel file may place in the file a statement relating to the material the faculty member considers to be inaccurate or misleading. This concise statement shall be submitted to the custodian for inclusion as an attachment to the specific document. A faculty member who objects to material in the personnel file because it is inaccurate or misleading may seek the removal of such material from the personnel file in accordance with Part XII of the East Carolina University Faculty Manual.
5. Access
   Personnel records may be located at various locations across campus. The personnel offices of Academic Affairs and the Health Sciences divisions will maintain comprehensive lists of locations where files may be found.
   
   Faculty members may obtain access to their departmental/unit personnel file by submitting advance notice of at least 4 calendar days to the unit administrator. Confidential documents, as specified in D.1 (above), will be removed. The faculty member may request the unit administrator's assistance in gathering files from various locations. The unit administrator must make arrangements to have office staff available to oversee the review process to ensure the integrity and safekeeping of the records and to assist in making copies of the file, if applicable. A faculty member may obtain copies of any materials contained in the personnel file subject only to restrictions provided by state law.
6. Disclosure of Confidential Information Willful disclosure of confidential information or unauthorized access to a personnel file by any person violates state law and university regulations and may result in disciplinary action under university regulations. Any public official, employee, agent, University contractor, student worker, intern, or volunteer who knowingly and willfully permits these violations but does not act to address them has neglected his or her duties and may also be disciplined in accordance with university regulations.

IX. Amendment Procedure

Amendment procedures are subject to the University’s Regulation on Policies, Rules, and Regulations. The Faculty Senate will consider amendments to East Carolina University Faculty Manual, Part VIII, Section I - Personnel Policies and Procedures for the Faculty of East Carolina University that are proposed by any full-time member of the faculty, by any faculty committee, or by any member of the administration of East Carolina University. Amendment(s) submitted to the Faculty Senate for consideration shall be handled as any other item of legislation that comes before the Senate. If the Senate approves such a proposed amendment, the Senate shall submit the proposed amendment to the Chancellor and, if approved by the Chancellor, the amendment will be forwarded to the Board of Trustees for its approval. Consideration by the Board of Trustees is not required if the Chancellor has final authority to enact the amendment.

X. Effective Date

All provisions of these policies and procedures shall become effective on the date they are approved by the East Carolina University Board of Trustees or its designee.

(FS Resolution #11-94, November 2011; FS Resolution #12-76, April 2012; FS Resolution #13-97, December 2013; FS Resolution #14-04, March 2014; FS Resolution #18-41, July 2018; FS Resolution #19-09, February 2019; FS Resolution #20-57, November 2020; FS Resolution #21-41, February 2022; FS Resolution #22-67, January 2023; FS Resolution #23-62, January 2024; FS Resolution #24-36, September 2024; FS Resolution #24-52, August 2024)

Part VIII, Section II: Policy of Conflicts of Interest and Commitment and External Activities of Faculty and Other Professional Staff

CONTENTS

1. Introduction
2. Conflict of Interest
3. Conflict of Commitment
4. Categories of Potential Conflicts
5. Conflict of Interest Procedures
6. Enforcement
7. Political Candidacy and Holding Public Office

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I. Introduction

Faculty are encouraged to engage in appropriate relationships with public and private agencies outside of the University in their scholarly, teaching and service contributions. In doing so, there is a need for commonly understood principles and corresponding procedures that identify, address, and manage potential conflicts that would detract from or interfere with an employee’s dedication of unbiased primary professional loyalty, time, and energy to the University’s mission.

All members of the University community are expected to avoid conflicts of interest and conflicts of commitment that have the potential to directly and significantly affect the University’s interests or compromise objectivity in carrying out University Employment Responsibilities, including research, service, and teaching activities and administrative duties, or otherwise compromise performance of University responsibilities. All activities that raise the issue of such conflicts must be disclosed, reviewed, and appropriately managed in accordance with the provisions of ECU REG01.15.03 Regulation on Conflicts of Interest, Commitment, and External Professional Activities for Pay. REG01.15.03 is based on policies and guidelines adopted by the UNC system Board of Governors, federal and state law, and federal agency sponsor requirements. Any questions regarding these procedures, or the Board of Governors' policies upon which they are based, should be directed to the Conflict of Interest Officer within ECU’s Office of Research Compliance.

II. Conflict of Interest

Conflict of Interest (COI) relates to situations in which financial or other personal considerations, circumstances, or relationships may compromise, have the potential to compromise, or have the appearance of compromising an individual’s objectivity in fulfilling their university duties or responsibilities, including research, service and teaching activities, and administrative duties.

III. Conflict of Commitment

A Conflict of Commitment (COC) relates to an individual's distribution of time and effort between obligations to University employment and participation in other activities outside of University employment. The latter may include such generally encouraged extensions of professional expertise as professional consulting (i.e. External Professional Activities for Pay—refer to UNC Policy Manual 300.2.2). Such activities promote professional development and enrich the individual's contributions to the institution, profession, and society; however, a conflict of commitment occurs when their pursuit involves an inordinate investment of time or is conducted at a time that interferes with the employee’s fulfillment of University Employment Responsibilities.

IV. Categories and Examples of Potential Conflicts

Activities that may involve financial conflicts of interest can be categorized under four general headings: (1) activities that are allowable and are disclosed; (2) activities requiring disclosure for further administrative review and analysis; (3) activities or relationships that are generally not allowable or permitted unless an approved Conflict of Interest Management Plan is in place; and (4) activities that are not allowable under any circumstances.

A full explanation of each of these categories is provided in regulation ECU REG01.15.03 on Conflicts of Interest, Commitment, and External Professional Activities for Pay.

Faculty have an obligation to become familiar with, and abide by, the provisions of the university’s COI/COC Regulation. At a minimum, all are required to receive COI/COC training and complete a disclosure annually. Certain situations or activities may precipitate the need to submit or update a disclosure more frequently. If any question of a COI/COC arises, faculty should discuss the situation with the University’s Conflict of Interest Officer and are encouraged to make a formal disclosure to the University.

V. Conflict and Commitment Procedures

The institutional COI Officer reviews the disclosures, categorizes the activity, and when required, works with the faculty member and Conflict of Interest Committee to implement a COI management plan. All questions on allowable activities, potential COIs, disclosures, and management plans should be directed to the University’s COI Officer.

VI. Enforcement

Faculty and all employees are under a clear obligation to adhere to the ECU policies and procedures to disclose and to remove or appropriately manage conflicts of interest or commitment. Violations may include, but are not limited to: (a) failure to properly disclose personal or financial interests as required, failure or refusal to respond to requests for additional information, providing incomplete, misleading, or inaccurate information; (b) failure to comply with a prescribed management or monitoring plan; or (c) engaging in an external activity for pay without receiving prior approval. Possible sanctions for such violations can range from administrative intervention to termination of employment in accordance with applicable University policies, including the East Carolina University Faculty Manual (Part IX, Section I, VI). (FS Resolution #10-36, March 2010)

VII. Political Candidacy and Holding Public Office

The Board of Governors has established rules for monitoring and regulating the involvement of University employees in political candidacy and office holding that could interfere with fulltime commitment to University duties. Faculty seeking to hold or are holding public office should refer to UNC Policy Manual, 300.5 for specific policy details.

(FS Resolution #10-36, March 2010, FS Resolution #19-58, May 2019)

Part IX, Section I: Appointment, Tenure, Promotion, Subsequent Appointment, and Advancement Policies and Procedures

CONTENTS

1. Tenure
   1. Tenure While Under Contract to East Carolina University
   2. Permanent Tenure
2. Faculty Appointments
   1. General Provisions
   2. Fixed-Term Appointments
   3. Probationary Faculty (Tenure-Track)
   4. Initial Appointment with Permanent Tenure
   5. Joint Appointments
3. Promotion
4. Procedures for Initiation, Review, and Approval of Personnel Actions
   1. Role of Unit Administrator in Personnel Actions
   2. Description of Unit Voting Faculty Members
   3. Due Process, Impermissible Grounds, and Conflict of Interest in Personnel Actions
   4. Unit Committees for Personnel Actions
   5. External Peer Review for Promotion and the Conferral of Permanent Tenure
   6. Documentation for Personnel Actions
   7. Initiation of Recommendations by Unit Personnel, Tenure, and Promotion Committees
   8. College Promotion and Tenure Committee
   9. Notification of Recommendations
   10. Procedure for Concurring and Non-Concurring Recommendations concerning Reappointment, Promotion, and/or the Conferral of Permanent Tenure, Subsequent Appointment and Advancement in Title

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Prologue

Academic freedom, the set of norms and values that protects a faculty member's freedom of intellectual expression and inquiry, is essential to the achievement of knowledge and understanding. East Carolina University supports academic freedom of inquiry, discourse, teaching, scholarship (research, creative activity/innovation, engagement, and/or outreach), and publication for all faculty members. See Part V, Academic Freedom, of the East Carolina University Faculty Manual. East Carolina University shall not penalize or discipline faculty members because of the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and professional interest and responsibility.

In accordance with the State Human Resources Act, accepted best methods and principles of personnel administration shall be incorporated into institutional personnel policies. The clear and transparent application of faculty appointment, tenure, promotion, and advancement policies is integral to maintaining a welcoming and inclusive environment for teaching, research, and learning. Having a diverse and inclusive faculty is associated with increased student success, improved graduation rates, and increased scientific impact.

With respect to personnel matters relating to Part IX of the East Carolina University Faculty Manual, academic units are defined as departments described in the unit codes of professional colleges and schools, the departments in the Thomas Harriot College of Arts and Sciences, professional colleges and schools without departments, Academic Library Services, Laupus Health Sciences Library, and any other units in which faculty appointments are made. In the College of Arts and Sciences and in professional colleges and schools whose unit codes describe departmental structures, departmental chairs are the unit administrators. In schools that do not have departments described in their unit codes, the director of the school is the unit administrator. This statement does not set aside Part IV of the East Carolina University Faculty Manual's provisions that permit faculty members with appropriate disciplinary qualifications to decide the structure of their academic units, if their unit codes allow and the Chancellor approves.

Confidentiality must be maintained when conducting any substantive business pertaining to all personnel actions, including but not limited to, initiation, review, and approval of appointments, subsequent appointments, advancements in title, reappointments, conferrals of permanent tenure, and promotions in academic rank. Because it does not guarantee confidentiality and because it becomes part of the candidate’s personnel file, email shall only be used for organizational arrangements. Formal correspondences relating to any substantive business pertaining to all personnel actions must be maintained in secure archival form and in accordance with the ECU Records Retention and Disposition Policy and relevant procedures.

I. Tenure

Academic tenure serves to ensure academic freedom by guarding faculty members against negative consequences of expressing unpopular points of view. Academic tenure refers to the conditions and guarantees that apply to a faculty member's professional employment. Tenure resides in East Carolina University, not the individual academic units. Tenure protects a faculty member against involuntary suspension or discharge from employment or reduction in rank except upon specified grounds and in accordance with the procedures provided in Part XII.I.III of the East Carolina University Faculty Manual, or against termination of employment except as provided for in Part XII.I.IV of the East Carolina University Faculty Manual. During the term of such guarantees, the faculty member may be discharged or suspended from employment or diminished in rank only for reasons of incompetence, neglect of duty, misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty, or demonstrable, bona fide institutional financial exigency or major curtailment or elimination of a teaching, scholarship, or public service program as detailed in Part XII.I.III or IV of the East Carolina University Faculty Manual.

1. Tenure While Under Contract to East Carolina University
   A faculty member who does not have permanent tenure has the protection of tenure until the expiration of the faculty member's employment contract.
2. Permanent Tenure
   1. Permanent tenure may be conferred only by action of the Board of Trustees of East Carolina University and is always held with reference to employment by East Carolina University rather than to employment by The University of North Carolina. The conferral of permanent tenure is allowed only as the result of the processes enunciated in this document.
   2. Conferral of permanent tenure shall be based on the faculty member's demonstrated professional competence in teaching, scholarship, clinical practice (as appropriate), and service; performance of these responsibilities in accord with appropriate professional standards of ethical conduct (Part V.II of the East Carolina University Faculty Manual); a potential for future contributions in a like manner; and the institution's needs and resources. While teaching is the first consideration, the faculty member must meet unit expectations in all other areas, as appropriate. No assistant professor will be awarded permanent tenure unless concurrently promoted to associate professor.

II. Faculty Appointments

1. General Provisions
   1. Categories of Appointments
      There are three kinds of faculty appointments:
      1. Fixed-Term Appointments [cf. Special Faculty Appointments, the UNC Code, 610 and East Carolina University Faculty Manual, Part VIII]. Fixed-term appointees do not hold professorial ranks and are appointed with titles as listed in Part VIII of the East Carolina University Faculty Manual. Fixed-term appointments are without permanent tenure and do not entitle the faculty member to consideration for reappointment or conferral of permanent tenure. A letter of appointment for a fixed-term faculty member sets forth in writing the beginning and ending dates of the term, the type of appointment and the pay status (i.e., paid or unpaid). The term of appointment of any paid special faculty member concludes at the end of the specified period set forth in the letter of appointment, and the letter of appointment constitutes full and timely notice that a new term will not be granted when that term expires. Except as specified in subsection II.B.2, no obligation exists on the part of East Carolina University to give any notice before a current fixed-term appointment expires as to whether a subsequent appointment will be granted at the end of a specified fixed-term.
      2. Probationary Appointments and Reappointments. Probationary appointments are made at the professorial ranks of assistant professor, associate professor, or professor. Probationary appointees are entitled to reappointment reviews and, if reappointed throughout the probationary period, are entitled to a tenure review. The timing of these reviews is explained below and in Part X of the East Carolina University Faculty Manual.
      3. Appointments with Permanent Tenure. Appointments with permanent tenure are continuous until retirement, resignation, or removal according to the provisions of Part IX.I (III or IV) of the East Carolina University Faculty Manual. Appointments with permanent tenure may be made at the professorial ranks of associate professor or professor only.
      4. Affiliate faculty members are volunteers, and do not have the protections extended to other faculty in Part IX. Initial recommendations for the appointment or subsequent appointment of these faculty members are made by the Personnel Committee.
   2. Criteria, Terms and Conditions for Appointment, Reappointment of Probationary (tenure-track) faculty, and Subsequent Appointment of fixed-term faculty
      All appointments, reappointments of candidates to probationary-term positions, and subsequent appointments of fixed-term faculty shall be based on assessments of candidates' demonstrated professional competence (Part X.I of the East Carolina University Faculty Manual), potential for future contributions, and the institution's needs and resources.
      The Chancellor or the Chancellor's designee¹ shall set out in writing, with a copy to the faculty member, the terms and the conditions of each appointment, each probationary faculty reappointment, and each subsequent appointment for fixed-term faculty. The terms shall reference appropriate sections of the East Carolina University Faculty Manual and shall state any conditions placed on the appointment, reappointment, or subsequent appointment.² Responsibility for initiating the inclusion of special terms and conditions in these documents is with the unit administrator. Prior to the initial appointment, the unit administrator shall provide a copy of the unit’s criteria for evaluating faculty performance contained in the unit code and the unit's guidelines on faculty workload [as specified in Part VIII.I.III of the East Carolina University Faculty Manual] to persons offered a faculty appointment in the unit. No offer is binding and no appointment is effective until signed by the Chancellor or the Chancellor’s designee.¹
      
      Criteria for evaluating faculty performance contained in the unit code shall be discussed by the unit administrator in a criteria review meeting at the beginning of the appointment term. In the case of probationary-term faculty, the Criteria Review meeting shall take place each academic year thereafter during the meeting to discuss the workplan for the upcoming academic year. In the case of fixed-term faculty members on semester-by-semester contract, the criteria review meeting shall take place once a year. A summary of this discussion shall be placed in the faculty member’s personnel file. The responsibility for calling this meeting is with the unit administrator.
   3. Continued Availability of Special Funding
      The appointment, reappointment, or subsequent appointment of a faculty member to a position funded in whole or in substantial part from sources other than continuing state budget funds or permanent trust funds shall specify in writing that continuance of the faculty member’s services, whether for a specified term or for permanent tenure, shall be contingent upon continuing availability of such funds. Exceptions to the foregoing contingency requirement are:
      1. That such a contingency shall not be included 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 is attached to the tenure.
      2. That such a contingency shall not be attached to the faculty member’s contract if the faculty member held permanent tenure in East Carolina University on July 1, 1975, and the contract was not contingent upon the continuing availability of sources other than continuing state budget or permanent trust funds.
      3. That such a contingency may be waived for health affairs faculties because of the unusual dependence of programs in the health professions on income from sources such as clinical receipts.
   4. Special Employment Arrangements
      The University may permit, at the discretion of the Provost, special employment arrangements for fixed-term, probationary term or tenured faculty members. Such arrangements may result in modifications in benefits.
      
      If a special employment arrangement involving funding sources other than the University is deemed by the Unit Administrator to be necessary and in the best interests of the Unit and the University, the request for the modified work schedule shall be made in writing to the Provost. The memo making this request should include specific reasons for seeking the modified work schedule and adequate assurances by the Unit Administrator, and for probationary-term faculty members, the unit Tenure Committee, that this arrangement is compatible with the faculty member fully achieving all of the duties and responsibilities appropriate for someone of the proposed rank and status.
   5. Notice of Resignation
      A fixed-term or probationary-term faculty member should provide the unit administrator with 90 days advance notice, in writing, of resignation from employment. A permanently tenured faculty member should provide the unit administrator with 120 days advance notice in writing of resignation from employment. In no case should a faculty member resign with an effective date between the beginning and ending dates of an academic term.
2. Fixed-Term Appointments [cf. Special Faculty Appointments, The UNC Code, 610; for the purposes of this section, unless otherwise specified, the provisions apply to paid faculty members] (The roles of committees are defined in subsection IV.)
   1. Contract and Notice:
      Fixed-term faculty members are made at the titles specified in Part VIII.I.I. of the East Carolina University Faculty Manual. Fixed-term faculty members are appointed for a specified term of service, as set out in writing in the letter of appointment. The term of appointment concludes at the end of the specified period set forth in the letter of appointment, and the letter of appointment constitutes full and timely notice that a new term will not be granted when that term expires.
   2. Request for Subsequent Appointment.
      Recommendations for subsequent appointments shall be based on the faculty member's demonstrated professional competence and achievements. Any recommendation is subject to the availability of the position, funding, administrative approval, and continued effective performance.
      
      A fixed-term faculty member desiring a subsequent appointment shall write a letter to their unit administrator requesting the subsequent appointment no later than 75 calendar days before the current term expires. When a request is received by the deadline, the unit administrator shall notify the chair of the unit Personnel Committee. The chair of the unit Personnel Committee shall facilitate the procedure for considering the candidate for a subsequent appointment. Documentation necessary for consideration for a subsequent appointment is determined by the unit code. No later than 45 calendar days before the end of the current term, the Personnel Committee and the unit administrator shall notify the faculty member in writing of their respective recommendations. The review must protect the candidate's due process rights.
      
      Fixed-term faculty members are not covered by UNC Code Section 604, and that section does not accord them rights to additional review of a decision by a constituent institution not to grant a subsequent appointment at the end of a specified fixed-term. During the term of their employment, fixed-term faculty members are entitled to seek recourse under UNC Code Section 607 of the (relating to faculty grievances).
      
      All documents pertaining to subsequent appointments shall be collected and maintained in accordance with Part X of the East Carolina University Faculty Manual.
   3. Multiyear Contracts.
      Whenever the position fulfills an ongoing unit need, and is adequately funded, multiyear contracts, of up to five years, should be considered for fixed-term faculty members who have demonstrated their effectiveness and contributions and/or who have outstanding credentials. Consideration of multiyear contracts tied to Advancement in title are specified in Part VIII.I.VI of the East Carolina University Faculty Manual.
   4. Advancement in Title:
      Persons holding fixed-term titles below Teaching, Research, Clinical, or Library Professor may be considered for advancement in title to the next professorial title. Advancement in title shall be based on the faculty member's demonstrated professional competence and achievements. See Part VIII of the East Carolina University Faculty Manual. Advancement in title is governed by the policies and procedures set forth in subsection IV below. In evaluating a candidate for advancement in title all of the candidate's professional activity shall count, but activity since the last advancement in title at East Carolina University shall carry a greater weight than activity prior to the last advancement in title. Additional criteria for advancement in title may be contained in each unit's code.
      
      A faculty member who wishes to be considered for advancement in title shall write a letter requesting advancement in title to their unit administrator by the deadline stated in Part X of the East Carolina University Faculty Manual. When a request is received by the deadline, the unit administrator shall notify the chair of the unit Personnel Committee. The chair of the unit Personnel Committee shall facilitate the procedure for considering the candidate for advancement in title. The committee's advancement in title recommendation shall be made in accordance with the timeline stated in Part X of the East Carolina University Faculty Manual.
      
      Fixed-term faculty members in multiyear contracts may request advancement in title in the middle of their contract, unless otherwise specified in the unit code. An advancement in title mid-appointment does not constitute extension of the current contract period.
      
      All documents pertaining to advancement in title shall be collected and maintained in accordance with Part X of the East Carolina University Faculty Manual.
3. Probationary Appointments
   Probationary appointments are made at the professorial ranks of assistant professor, associate professor, and professor. Persons appointed as associate professor or professor are eligible for permanent tenure.
   
   A faculty member appointed to an administrative position is eligible for permanent tenure only as a faculty member in one of the professorial ranks. There is no permanent tenure in an administrative position.
   1. Notice of Reappointment or Non-Reappointment [UNC Code 604].
      After considering all prior recommendations, the Provost shall decide, early enough to permit timely notice to be given, whether to reappoint or not to reappoint a faculty member at the expiration of a term of service (see Part X of the East Carolina University Faculty Manual). Notice of reappointment or non-reappointment shall be written.
      
      Timely Notice: For faculty members at the rank of assistant professor, associate professor, or professor, the minimum requirement for timely notice shall be as follows:
      1. During the first year of service at East Carolina University, the faculty member shall be given not less than 90 calendar days’ notice before the employment contract expires.
      2. During the second year of continuous service at East Carolina University, the faculty member shall be given not less than 180 calendar days’ notice before the employment contract expires.
      3. After two or more years of continuous service at East Carolina University, the faculty member shall be given not less than 12 months’ notice before the employment contract expires.
         
         Failure to give timely notice of non-reappointment will oblige the Chancellor to offer a terminal appointment of one academic year.
   2. Probationary Terms
      Although the Chancellor may recommend that a faculty member be granted permanent tenure at any time, the faculty member shall be notified not later than twelve months before the end of the probationary period whether the faculty member will be recommended for permanent tenure. The normal probationary term for the professorial ranks, as established at the time of initial appointment, shall be as follows:
      
      Assistant Professor. The maximum probationary term is six years. The faculty member can receive an initial three-year appointment and a maximum of two successive two-year appointments. No assistant professor will receive reappointment in a probationary term without a terminal degree or appropriate alternate credentials as defined in the unit code. If a faculty member does not receive permanent tenure at the end of their sixth year, the faculty member remains employed through one terminal year. During that terminal year, the faculty member may not serve on the unit’s Personnel Committee.
      
      Associate Professor. The maximum probationary term is four years. The faculty member can receive an initial three-year appointment and a maximum of one two-year appointment. If a faculty member does not receive permanent tenure at the end of their fourth year, the faculty member remains employed through one terminal year. During that terminal year, the faculty member may not serve on the unit’s Personnel Committee.
      
      Professor. The probationary term is two years. The faculty member can receive a single three-year appointment. If a faculty member does not receive permanent tenure at the end of his or her second year, the faculty member remains employed through one terminal year. During that terminal year, the faculty member may not serve on the unit’s Personnel Committee.
      
      All time served in a probationary appointment at East Carolina University must be continuous, excluding any approved leaves of absence.
      
      When a faculty member in probationary appointment requests and is awarded promotion in rank before the end of the probationary term, the original contractual probationary term shall not be altered.
      
      To afford the maximum opportunity for tenure, the probationary term for personnel hired at the professorial ranks, whose contract date occurs earlier than the beginning of the Fall semester (or July 1 for probationary faculty members with twelve-month appointments), will be measured from the beginning of the subsequent Fall semester (or July 1 for probationary faculty members with twelve-month appointments).
   3. Reduction of the Normal Probationary Term for Previous Academic Employment
      Although generally discouraged in favor of petitioning for early tenure (see subsection II.C.6), reduction of the normal probationary term may be granted for previous full-time faculty employment at the time of initial appointment as assistant professor or associate professor. The granting of such a reduction shall require a strong justification and the agreement of the appointee, a simple majority of the unit Personnel Committee, the unit administrator, the dean, and the Provost. The maximum reduction at each professorial rank shall be as follows:
      1. For a candidate appointed at the rank of assistant professor, a maximum reduction of three years is allowed.
      2. For a candidate appointed at the rank of associate professor, a maximum reduction of two years is allowed.
      3. For a candidate appointed at the rank of professor, no reduction is allowed.
   4. Extensions of the Probationary Term
      Extensions of the probationary term must be requested by the faculty member and shall be granted only in cases of severe personal exigency or other compelling personal circumstances; such extensions shall be limited to a total of no more than two years. Probationary-term faculty members who have received paid leave under the Faculty Serious Illness and Parental Leave Policy shall receive an extension of the probationary term, if requested. The probationary term may be extended in increments of one or more academic years: one year for leaves of one or two semesters, two years for leaves of three or four semesters. A probationary-term faculty member who assumes a full-time administrative position or clinical position for one or more semesters may be granted extensions of the length of the probationary term; such extensions shall be limited to a total of no more than three years. All such extensions must be requested in writing by the faculty member, and the unit Personnel Committee, the unit administrator, the dean, and the Provost each must review and make recommendations. The Chancellor or the Chancellor's designee¹ provides the final approval of the extension. Extensions of the probationary term must be expressly stated in appointment or reappointment documents or added by a written memorandum of amendment by the Provost during the term of an appointment.
   5. Progress Toward Tenure Letters
      In all years except the year prior to the year in which a faculty member’s mandatory tenure decision is considered, the Tenure Committee will annually meet with the unit administrator to review the cumulative record of a candidate’s progress and finalize a Progress Toward Tenure Letter. This meeting should occur after completion of the candidate’s workplan for the upcoming year and current annual evaluations in accordance with timelines specified in Part X.II. One week prior to the meeting, the unit administrator will provide the Tenure Committee with the candidate’s current annual report, copies of the candidate’s previous and current workplans, annual evaluations, success plans if any, previous progress toward tenure letters, and a draft of the new Progress Toward Tenure Letter written by the unit administrator. Any additional required materials must be defined in the unit’s code.
      
      These Progress Toward Tenure Letters will address the candidate’s cumulative accomplishments to date. Successes and areas for improvement shall be evaluated within the context of the unit’s ongoing expectations of the candidate in the unit’s criteria for promotion and tenure. The letter shall include evaluative and formative language that advises the candidate on how to meet unit expectations, and it shall assess the candidate’s recent performance, cumulative performance, and overall trajectory. While the letter shall include an overall summative rating progress towards tenure, those ratings shall not substitute for thorough narrative evaluations of the candidate’s strengths and weaknesses. Criteria for evaluation shall be limited to the candidate’s assigned duties and professional conduct (Part V.II of the East Carolina University Faculty Manual). Letters must not be understood as a guarantee of the ultimate tenure decision; instead, the final tenure recommendation vote, concurring or non-concurring recommendations, and the final decision in the review process are complex decisions that are based on the candidate’s overall trajectory throughout the probationary period, external letters, a potential for future contributions, and other factors permitted under the UNC Code 602. The review must protect the candidate's due process rights (see subsection IV.C below).
      
      Representative(s) of the Tenure Committee will meet with the unit administrator and the candidate to discuss in a formative manner the outcome of the progress towards tenure review carried out by the Tenure Committee and the unit administrator, with suggested areas of improvement. That meeting shall be documented in writing by the unit administrator, and the document shall be placed in the personnel file. In the event that the faculty member disagrees with the substance of the Progress Toward Tenure Letter, it is the responsibility of the faculty member to make this disagreement known in writing within fourteen days, in a letter addressed to the unit administrator. This letter will be placed in the faculty member's personnel file, and copies will be sent to the unit Tenure Committee and to the next higher administrator.
      
      The timeline for completion of reviews of progress toward tenure is contained in Part X of the East Carolina University Faculty Manual, Part X.
   6. Request for Early Permanent Tenure
      According to the timeline in the East Carolina University Faculty Manual, a faculty member who has not completed the probationary term (see subsection II.C.1-3) and who requests in writing that consideration be given to conferral of permanent tenure will be considered for permanent tenure during the fall semester of the next academic year.³ When a faculty member holding the rank of assistant professor requests consideration for early tenure, this request also constitutes a request for consideration for promotion to associate professor.
4. Initial Appointment with Permanent Tenure
   A faculty member whose initial appointment is to a professorial rank with permanent tenure shall be regarded as having permanent tenure until retirement, resignation, or removal according to the provisions of Part XII.I of the East Carolina University Faculty Manual.
5. Joint Appointments
   An ECU faculty member may hold only one tenured or probationary appointment at professorial rank. This may be in a single academic code unit or by joint appointment when holding responsibilities in more than one such unit. Joint appointments may be made within a single code unit (such as between departments in a School or College), or they may also be made in which the appointee holds tenured or probationary professorial rank in an academic code unit and a non-probationary contractual or academically titled position in another entity within the University not organized as an academic code unit in the manner described in Part IV of the East Carolina University Faculty Manual, hereinafter referred to as an “entity.” Such entities are usually, but not exclusively, identified as a School, Center, Institute, or Program.
   
   One academic code unit must be designated primary, with greater than 50% of all administrative and academic responsibilities for the position. Only academic code units, as defined in Part IV.I of the East Carolina University Faculty Manual, can be the primary unit for a joint appointment. The designation of the primary unit and the secondary unit or entity must be made when the appointment is created, and may be changed only with the written agreement of the faculty member, the relevant personnel, tenure, and promotion committees of the primary unit, as applicable, the relevant personnel, tenure, and promotion committees of the secondary unit or entity, and the relevant administrators.
   
   Letters of appointment for faculty members in joint appointments to two academic code units must clearly state the criteria for reappointment, promotion, and tenure contained in the unit codes of both units, and the roles of the faculty member and all appropriate committees and administrators in personnel actions.
   
   Letters of appointment for faculty members in joint appointments to an academic code unit and a University entity must clearly identify the criteria for reappointment, promotion, and tenure contained in the unit code of the primary unit, the criteria that the relevant standing committee or administrator of the entity will use in evaluating the professional performance of the faculty member, and the roles of the faculty member and all appropriate committees and administrators in personnel actions.
   
   Probationary faculty members in appointments jointly held between academic code units will be reviewed for reappointment, promotion, or tenure by both units, although only members of the applicable committees of the primary unit are allowed to vote and recommend the personnel action sought. All review materials are to be fully shared between the units. Although one unit will be primary and provide the recommendation, input from the secondary unit is also considered important in the review process. In the absence of specific policies and procedures clearly enunciated in the unit code of either or both units, the review by the secondary unit will be transmitted by written memorandum from the chair of the relevant personnel committee of the secondary unit with concurrence or non-concurrence of the administrator of the secondary unit to the chair of the relevant personnel committee and to the administrator of the primary unit. Faculty members holding joint appointments of this type are subject to a special schedule described in Part X.II of the East Carolina University Faculty Manual to allow the secondary unit reasonable time to review the faculty member’s Personnel Action Dossier, or other relevant documentation pertaining to the personnel action sought, prior to the review by the primary unit.
   
   Probationary faculty members in appointments jointly held between an academic code unit and an entity will be reviewed and recommended for reappointment, promotion, or tenure only by the primary unit. All review materials are to be fully shared between the unit and the entity. Although the academic unit carries all responsibilities for personnel decisions, review by the entity is also considered important. In the absence of specific policies and procedures clearly enunciated in the Unit Code of the primary unit, the results of the review by the entity will be transmitted by written memorandum from the chair of a standing committee of the entity authorized to review personnel matters, with concurrence or non-concurrence of the entity administrator to the chair of the relevant personnel committee and to the administrator of the primary unit. Absent such committee in the secondary unit, the entity administrator will be responsible for transmitting the results of his or her review by written memorandum to the chair of the relevant personnel committee and to the administrator of the primary unit. Faculty members holding joint appointments of this type are subject to a special schedule described in Part X.II of the East Carolina University Faculty Manual to allow the entity reasonable time to review the faculty member’s Personnel Action Dossier, or other relevant documentation pertaining to the personnel action sought, prior to the review by the primary unit.

III. Promotion

Persons holding the professorial rank of assistant professor or associate professor may be considered for promotion to the next professorial rank. Promotion shall be based on the faculty member's demonstrated professional competence and achievements. See Part VIII of the East Carolina University Faculty Manual. Promotion is governed by the policies and procedures set forth in subsection IV. In evaluating a candidate for promotion, all of the candidate’s teaching, scholarship, service, and other professional activity shall count, but activity since the last promotion at ECU shall carry a greater weight than activity prior to the last promotion. Additional criteria for promotion may be contained in each unit’s code. A faculty member who wishes to be considered for promotion to the next professorial rank shall write a letter requesting promotion in rank to their unit administrator by the deadline stated in Part X of the East Carolina University Faculty Manual. When a request is received by the deadline, the unit administrator shall notify the chair of the unit Personnel Committee. The chair of the unit Personnel Committee shall facilitate the procedure for considering the candidate for promotion. The committee’s promotion recommendation shall be made during the fall term of the next academic year, in accordance with the timeline stated in Part X of the East Carolina University Faculty Manual.⁴ Tenured faculty should request promotion to the next professorial rank before their next post-tenure review.

IV. Procedures for Initiation, Review, and Approval of Personnel Actions

Recommendations for faculty personnel actions are the responsibility of unit committees and the unit administrator. The timeline for faculty personnel actions is set forth in Part X of the East Carolina University Faculty Manual. The evaluation of faculty members for appointment, subsequent appointment, advancement in title, reappointment, promotion, and the conferral of permanent tenure shall be initiated by the appropriate unit committee on notice from the unit administrator and higher administrative authority. The appropriate unit committee shall evaluate faculty members for promotion in rank and the early conferral of permanent tenure, and advancement in title at the request of the faculty member.

The committee's recommendation shall be forwarded to the unit administrator. A committee cannot reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation. The unit administrator shall forward the committee’s recommendation and their recommendation to the next higher administrator. If an existing unit, school, or college is reorganized, until such a time as new promotion in rank, tenure, subsequent appointment, and advancement in title criteria are established in an approved unit code, the provisional code shall address the manner in which existing unit code promotion in rank, tenure, subsequent appointment, and advancement in title criteria shall be maintained. The provisional code should ensure that faculty members are evaluated by personnel, tenure, and promotion committees composed of faculty members with the appropriate expertise.

If the faculty member in a probationary appointment does not provide a Personnel Action Dossier (hereafter "PAD") for reappointment, promotion, or conferral of permanent tenure on or before the deadline outlined in Part X of the East Carolina University Faculty Manual, the failure to submit the required PAD will be considered as notice that the faculty member is withdrawing the request for consideration for reappointment, promotion, and conferral of permanent tenure. The Personnel Committee and the unit administrator shall notify the faculty member in writing, with a copy to the next higher administrator, within 30 calendar days after the deadline that failure to submit the required PAD for consideration constitutes withdrawal from consideration. From the time of this notification, the faculty member may not serve on the unit’s Personnel Committee.

1. Role of Administrator in Personnel Actions
   The unit administrator serves to provide leadership, support, and guidance to the total functioning of the unit.
   
   The unit administrator is responsible for maintaining the personnel files, providing timely notification to the chair of the Personnel Committee on all personnel actions required or expected, reviewing candidates' PADs for reappointment, tenure and promotion, post-tenure review portfolios, and Professional Portfolios for subsequent appointment and advancement in title to ensure that all required documentation is present, and distributing all personnel documents and materials to the appropriate secure location. For probationary term faculty members, the unit administrator annually confers with the Tenure Committee on the candidate's Progress Toward Tenure Letter. For tenure, promotion and post-tenure review, after receiving the recommendation and the cumulative evaluation or report from the appropriate committee, the unit administrator prepared a cumulative evaluation or report in narrative form of the candidate's teaching, scholarship, service, and any other relevant duties. As indicated at the beginning of this section, the personnel recommendations of the unit administrator shall be forwarded to the next higher administrator along with the recommendation of the appropriate faculty committee.
   
   In personnel matters, the unit administrator functions as an administrator rather than a faculty member. Therefore, the unit administrator does not have a faculty vote in personnel matters, and is excluded from all unit committee deliberations and votes concerning candidates for appointment, reappointment, promotion, or permanent tenure, and subsequent appointment and advancement in title of fixed-term faculty. However, there may be occasions on which a unit administrator and a committee wish to confer for informational purposes.
2. Description of voting faculty members:
   1. Tenure-granting units
      For the purposes of subsection IV voting faculty members are defined as someone who:
      • holds a full-time faculty position with East Carolina University and a greater than half-time assignment in the unit, and
      • is either a probationary-term (tenure-track) faculty member or a permanently tenured faculty member, and
      • is in at least the twelfth consecutive calendar month of appointment to the faculty of the unit as either a probationary-term (tenure-track) faculty member or a permanently tenured faculty member, or
      • is a fixed-term full-time faculty with at least six years in a greater than 50% assignment in the unit, and
      • is not a unit administrator or an individual with half or more of their workload assigned to administrative duties as determined by the permanently tenured faculty members in consultation with the unit administrator,
      • or normally meets the above conditions and is on non-medical leave of absence from all University duties but is in attendance at the meeting of the appropriate committee at the time of the committee’s vote on a personnel action. Faculty members on approved medical leave are not permitted to participate in University business during the approved leave.
   2. Non-tenure-granting units, units that are transitioning between tenure-granting and non-tenure-granting faculty structures, and clinical tenure-granting units that include fixed-term faculty members in personnel actions in their unit codes.
      
      For the purposes of subsection IV voting faculty members are defined as someone who:
      • holds a full-time faculty position with East Carolina University and a greater than half-time assignment in the unit, and
      • is in at least the twelfth consecutive calendar month of appointment to the faculty of the unit, and
      • is not a unit administrator or an individual with half or more of their workload assigned to administrative duties as determined by the established voting faculty members in consultation with the unit administrator,
      • or normally meets the above conditions and is on non-medical leave of absence from all University duties but is in attendance at the meeting of the appropriate committee at the time of the committee’s vote on a personnel action. Faculty members on approved medical leave are not permitted to participate in University business during the approved leave.
3. Due Process, Impermissible Grounds and Conflicts of Interest in Personnel Actions
   
   1. In order to protect the faculty member's due process rights, in personnel actions the unit administrator or appropriate unit committee will consider misconduct in their recommendations or evaluations only if the misconduct is documented in the faculty member's personnel file and the faculty member's due process rights were respected (including the right to appeal a finding or sanction to the relevant committee and the right to include in the personnel file a letter expressing disagreement with a finding). Should an alleged case of misconduct be too recent for the faculty to appeal the University's charge or finding of misconduct, the evaluation or review may be suspended with the approval of the Chancellor or Chancellor's designee until such time as determined by the Chancellor or Chancellor's designee.
   2. Impermissible grounds for negative recommendations in personnel actions
      Recommendations and decisions in personnel actions must not be based upon: (1) the exercise by the faculty member of rights guaranteed by the First Amendment to the United States Constitution, or by Article I of the North Carolina Constitution; (2) the faculty member's membership in a group protected from discrimination under state or federal law; (3) other violation of state or federal law; or (4) material violation of applicable university policies for reappointment, promotion, and tenure that materially affect the decision.
   3. Faculty members must recuse themselves from personnel actions in which they have conflicts of interest. (See Part VIII.II of the East Carolina University Faculty Manual.) If a faculty member has potential conflicts of interest, those should be disclosed to the committee, and following the most recent revision of Robert's Rules of Order, the committee may vote to deny that faculty member a vote in a particular personnel action. Under no circumstances may a faculty member participate in any personnel action involving someone with whom the faculty member has an amorous relationship or to whom the faculty member is related by blood, law, or marriage (as defined in UNC Policy Manual 300.4.2 and 300.4.2.1[G]). A faculty member who is ineligible for participation in the evaluation of a related person does not count for quorum purposes and their ineligibility does not constitute a recommendation against the proposed personnel action.
4. Unit Committees for Personnel Actions⁵
   1. Personnel Committee
      1. Function
         The Personnel Committee shall be responsible for making recommendations regarding initial probationary appointments and initial and subsequent fixed-term faculty appointments.
      2. Composition
         1. Tenure-granting units, except as stipulated in ii, below
            The composition of each unit’s Personnel Committee shall be determined by the Unit Code but shall consist of at least three members. The membership of the committee shall be composed of some or all of the permanently tenured voting faculty members of the unit, including those who are on non-medical leave but in attendance at the meeting at the time of the committee's vote, but excluding the unit administrator. Where a unit's code allows, probationary term and fixed term faculty members are also eligible for membership on the committee, provided they have served in the unit full-time for three or more consecutive years if they are probationary term faculty and six or more consecutive years if they are fixed-term. At least two-thirds of the unit Personnel Committee membership shall be permanently tenured voting faculty members. When there are not enough permanently tenured voting faculty members in the unit to satisfy this requirement, additional permanently tenured faculty members shall be appointed by the next higher administrator from a list selected by the unit’s voting faculty members and containing at least twice the number of faculty members required to complete the membership of the committee. All other members of the unit Personnel Committee shall be elected by the permanently tenured, probationary-term, and fixed-term voting faculty members of the unit. The chair of the unit Personnel Committee shall be permanently tenured and shall be elected annually by and from the committee's membership.
         2. Non-tenure-granting units and transitioning units, as defined above, and clinical tenure-granting units that include fixed-term faculty members in personnel actions in their unit code
            
            In units with faculty structures, all full-time faculty members in at least the twelfth consecutive calendar month of appointment to the faculty of the unit, shall be eligible to serve on the unit Personnel Committee, and to serve as Chair of the unit Personnel Committee. Members of the unit Personnel Committees of these faculty units are to be elected by the voting faculty of each unit, as defined in subsection IV.
            
            From the time of final notification of non-reappointment or non-conferral of tenure, a faculty member may not serve on the unit's Personnel Committee.
            
            For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      3. Additional Roles of Unit Personnel Committee
         In addition to making recommendations to the unit administrator on initial and subsequent fixed-term appointments and initial probationary-term appointments, the unit Personnel Committee has the following responsibilities:
         1. Appointing a search committee as prescribed by the unit's code to fulfill the responsibilities of soliciting and screening applicants and recommending to the unit's Personnel Committee candidates for initial appointments. A majority of unit search committee members must have at least one academic year's employment at ECU and must be full-time faculty members holding either a fixed or probationary-term appointment or permanent tenure. If feasible, it is recommended that at least one member of the search committee be from outside of the unit if the unit is coded at the department level or outside of the department or school if the unit is coded at the college or school level. For the purposes of this section, unit administrators may not be a part of the committee.
         2. Consulting, by request of the faculty member, with faculty members who are considering requesting conferral of permanent tenure prior to the end of the probationary term (see subsection II.C.6).
         3. Consulting, by request of the faculty member, with faculty members who are considering requesting promotion (see subsection III).
         4. Making recommendations on requests for reduction in the normal probationary term at the time of initial appointment (see subsection II.C.3).
         5. Making recommendations on requests for the extension of the normal probationary term (see subsection II.C.4).
         6. Reviewing additional materials submitted by faculty members for inclusion in their PAD; consulting with the unit administrator regarding responses to such materials.
         7. Notifying fixed-term faculty members that the Personnel Committee will or will not recommend a subsequent fixed-term appointment when the fixed-term faculty member requests notification (see subsection II.B.2).
         8. Making recommendations for multiyear contracts for fixed-term faculty members (see subsection II.B.3).
         9. Making recommendations for advancement in title for fixed-term faculty members (see subsection II.B.4).
         10. Making recommendations for appointment, subsequent appointment of adjunct and affiliate faculty.
      4. Role of the Chair of the Unit Personnel Committee
         The chair of the unit Personnel Committee shall be permanently tenured, except as covered by subsection IV.D.1.b.ii above, and shall be elected annually by and from the committee's membership. The chair shall preside over all committees making personnel recommendations to the unit administrator and may participate in the decisions of any committee of which the chair is a member, except as noted below. The chair of the committee shall ensure that the candidate’s materials contain all required documents, obtain and distribute materials to be used during the deliberation of the committee, ensure that a valid vote has been taken, communicate the results of such votes to the appropriate faculty members and to the unit administrator, and perform other duties as designated by the unit code. If the chair of the unit Personnel Committee holds a professorial rank lower than that to which a faculty member requests promotion, the unit Personnel Committee chair shall not be eligible to participate and shall only be responsible for calling a meeting of the Promotion committee to facilitate the election of a chair of the committee from among its membership.
         
         If the chair of the unit Personnel Committee is not a member of the Peer Review Committee for Post-tenure review, the Chair of the unit Personnel Committee is ineligible to participate and shall only be responsible for calling a meeting of the Peer Review Committee to facilitate election of a chair of the committee from among its membership.
         
         In such cases where the Chair of the unit Personnel Committee is ineligible to participate, they shall not attend any meetings of the committee except to facilitate the election of the chair as noted above.
   2. Promotion Committee
      1. Function
         The Promotion Committee shall be responsible for making recommendations for promotions in rank and for recommending the ranks of initial appointments at the associate professor or professor level. When making a recommendation for or against promotion, but not when recommending ranks of initial appointment, the Promotion Committee shall prepare and forward to the unit administrator and to the candidate (Subsection IV.H) a statement of the committee’s recommendation that contains the committee’s cumulative evaluation of the candidate. The cumulative evaluation shall follow the Guidelines for Preparing Cumulative Evaluations in Part X in the East Carolina University Faculty Manual. After review and response (if any) by the candidate, the committee shall forward to the unit administrator its recommendation, along with the cumulative evaluation and candidate's response (if any). In the case of a recommendation for or against promotion that coincides with a recommendation for or against permanent tenure, both recommendations are reported together and only one cumulative evaluation addressing both recommendations is required. The committee’s deliberations on its cumulative evaluation and recommendation may address any of the candidate’s contractual duties and professional conduct (Part V.II of the East Carolina University Faculty Manual). The candidate's due process rights must be protected (see subsection IV.C).
      2. Composition
         The membership of the Promotion Committee shall be composed of those permanently tenured voting faculty members who hold rank at least equal to the rank for which the candidate is being considered, including those on non-medical leave but in attendance at the committee's meeting at the time of the committee's vote, but excluding the unit administrator. The composition of the committee shall thus vary with the rank to which a faculty member is being considered for promotion.
         
         When a unit has fewer than three permanently tenured voting faculty members of sufficient rank and not holding administrative status, the next higher administrator above the unit level shall appoint permanently tenured faculty members at the required rank from other units across the University to increase the committee's membership to three. These appointments to the committee must be from one list of candidates selected by a vote of the permanently tenured faculty members having rank at least equal to the faculty member(s) being considered for promotion in addition to the faculty member(s) seeking promotion. The list forwarded to the next higher administrator by the faculty will contain at least twice the number of faculty members required to complete the membership of the committee(s). Before voting on the list to be forwarded to the next higher administrator, the chair of the committee will ascertain that faculty members nominated to have their names placed on the list are willing and able to serve in this important capacity. The list of faculty names recommended to the next higher administrator may not be returned for revision.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
   3. Tenure Committee
      1. Function
         The Tenure Committee shall be responsible for making recommendations for reappointments of probationary-term faculty members, the granting of permanent tenure, and conferral of tenure for initial appointments with permanent tenure. For granting of permanent tenure, but not for initial appointments with tenure, the Tenure Committee, or an elected subcommittee of the Tenure Committee, shall prepare a cumulative evaluation of the faculty member. The cumulative evaluation shall follow the Guidelines for Preparing Cumulative Evaluations in Part X.I of the East Carolina University Faculty Manual. After review and response (if any) by the candidate, the committee shall forward to the unit administrator its recommendation, along with the cumulative evaluation and candidate’s response (if any). When the decision is for both tenure and promotion, only one cumulative evaluation containing a recommendation for or against tenure and promotion is required. The committee’s deliberations on its cumulative evaluation and recommendation shall have as their basic standard of appraisal and evaluation whether the faculty member under review met the stated and approved criteria of the unit’s code during the period under review. The committee’s deliberations may address any of the candidate’s assigned duties and professional conduct (Part V.II of the East Carolina University Faculty Manual, Section II). The due process rights of the candidate must be protected (see subsection IV.C).
      2. Composition
         The Tenure Committee shall be composed of the permanently tenured voting faculty members of the unit, including those who are on non-medical leave but in attendance at the meeting at the time of the committee's vote, but excluding the unit administrator.
         
         When a unit has fewer than three permanently tenured voting faculty members not holding administrative status, the next higher administrator above the unit level shall appoint permanently tenured voting faculty members from other units to increase the committee's membership to three. These appointments to the committee must be from one list of candidates selected by a vote of the permanently tenured and probationary-term faculty members of the unit, including the faculty member(s) seeking tenure. The list forwarded to the next higher administrator by the appropriate faculty members will contain at least twice the number of faculty members required to complete the membership of the committee. Before voting on the list to be forwarded to the next higher administrator, the voting faculty members will ascertain that faculty members nominated to have their names placed on the list are willing and able to serve in this important capacity. The list of faculty names recommended to the next higher administrator may not be returned for revision.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      3. Additional roles of the unit Tenure Committee.
         A Code Unit may establish, in its unit code, procedures for fulfilling the additional roles; however, if the Code of a unit is silent in this regard, it is hereby established that the entire membership of the unit Tenure Committee will participate in these additional roles. In accordance with the unit code, if the unit’s Tenure Committee has more than five members, the unit Tenure Committee may elect a subcommittee of at least five members to participate in these additional roles. The unit Tenure Committee (or properly constituted subcommittee):
         1. Produces a list of possible external reviewers and selects external peer reviewers from lists produced by the Committee and by the candidate (see subsection IV.E.).
         2. Selects, with the unit administrator, the scholarship materials to be sent to external peer reviewers (see subsection IV.E.).
         3. In consultation with the unit administrator, prepares Progress Toward Tenure Letters annually during each candidate’s probationary term, except for the year immediately preceding candidate’s tenure decision year. One or more representatives of the Tenure Committee will meet with the unit administrator and the candidate to discuss the Progress Towards Tenure Letters.
         4. Elects members to the Peer Review Committee for post-tenure review (East Carolina University Faculty Manual, Part IX, Section II).
5. External Peer Review for Promotion and the Conferral of Permanent Tenure
   “External peer review” means a review of a candidate’s scholarship by persons who are not faculty members or employees of East Carolina University. Every effort must be made to ensure that the process of external peer review is conducted fairly and without bias. External peer reviews of the quality of the candidate’s scholarship, as evidenced by the material submitted by the candidate for promotion or conferral of permanent tenure or both, will be used by the appropriate committee(s) in conjunction with its own evaluation of the material. The unit administrator and the unit Tenure Committee shall select the material from the dossier to be sent to external reviewers. The candidate may include additional published or accepted material if the candidate disagrees with the initial selection. Inclusion of such additional items in the materials sent to reviewers shall be noted by memorandum of the unit administrator in the dossier and the candidate’s personnel file.
   
   Qualifications of the reviewers and criteria for their selection are to be determined by the faculty of each unit and contained in the unit code. According to the provisions of unit codes, other materials that reflect the candidate’s scholarly activities may be included in the selections to be sent to external reviewers.
   
   In accordance with the timeline in Part X of the East Carolina University Faculty Manual, prior to the academic year in which a promotion or tenure decision is scheduled, the unit Tenure Committee shall produce a list of at least six possible external reviewers. The candidate for promotion and/or permanent tenure shall independently provide a similar list, noting for each name any potential conflicts of interest and a description of any current and past relationship, if any, between the reviewer and the candidate. The candidate shall also provide similar relationship information for each name on the unit Tenure Committee's list.
   
   The unit Tenure Committee shall select a minimum of six names from its list and the candidate’s list with the goal of ensuring that a minimum of three external reviewers agree to provide letters. If fewer than three external reviewers agree to provide letters, the unit administrator shall request additional names from the Tenure Committee. The unit administrator and Tenure Committee shall ensure that at least one-third of the reviewers come from the candidate’s list. In cases where membership on the committee’s list and the candidate’s list overlaps, it is permissible that all reviewers be on the candidate’s list. External reviewers shall hold a rank not less than that to which the candidate is requesting promotion or, if a member of a foreign University, be of at least equivalent academic standing to the rank being sought as determined by the Tenure Committee. If the reviewer is not an academic, the reviewer shall demonstrably possess the professional experience necessary to evaluate the candidate’s qualification for the rank being sought. Code units that require more than three external reviewers shall make special provisions in their unit codes. These provisions must clearly indicate the number of external reviewers required by the unit.
   
   The unit administrator or their delegate shall serve as the contact person with potential and actual external reviewers. If a situation arises in which a unit administrator or their delegate is unable to communicate with a potential or actual reviewer in a timely manner, the unit Tenure Committee chair will do so. If the unit administrator, their delegate, or the Tenure Committee chair is unable to communicate with external reviewers in a timely way, the next higher administrator shall appoint someone to perform the necessary communication duties. Only procedural matters may be discussed with potential and actual reviewers for the duration of the personnel action.
   
   The unit administrator will notify potential reviewers in writing that they have been nominated to conduct the review and ascertain their willingness to serve as reviewers. To assist the potential reviewer in determining their own suitability to perform the review, the request to serve as an external reviewer will be accompanied by a copy of the candidate’s Curriculum Vitae, and it will solicit both information about potential conflicts of interest and a description of the current and past relationship, if any, between the potential reviewer and the candidate. If any potential conflicts are disclosed, the unit administrator and the Tenure Committee will meet to determine whether the disclosed relationship should preclude the potential external reviewer from serving in that capacity. If the unit administrator and the committee do not agree, the next higher administrator will reach a determination. All communications on such a disclosed relationship and a memo describing the decision written by the unit administrator should be included in the PAD.
   
   No later than the date specified in Part X of the East Carolina University Faculty Manual, selected scholarship from the candidate’s PAD and the candidate’s Curriculum Vitae, along with a cover letter prescribed by the University, shall be sent to the reviewers. Units may send an excerpt from the Unit Code describing the criteria for tenure and/or promotion, as applicable. Correspondence with the reviewers shall be written in neutral terms, serving to neither support nor oppose the candidate and shall not deviate substantially from the University-prescribed cover letter.
   
   If the faculty member under review does not provide the material to be submitted to external reviewers by the deadline outlined in Part X of the East Carolina University Faculty Manual, the failure to submit the required materials will be considered as notice that the faculty member is withdrawing the request for consideration for promotion or conferral of permanent tenure. The Personnel Committee and the unit administrator shall notify the faculty member in writing, with a copy to the next higher administrator, within 30 calendar days of the deadline that failure to submit the required materials for external review constitutes withdrawal from consideration. From that time, the faculty member may not serve on the unit’s Personnel, Tenure, or Promotion committees.
   
   Templates for the prescribed letters are available. Records of all correspondence with the reviewers and the reviews shall be made a part of the PAD (see Part X of the East Carolina University Faculty Manual).
   
   Upon receipt of a review, the unit administrator will place the original review in the candidate's personnel file and copies of the review in the candidate's dossier. Copies of the external review letter will only be made available to candidates upon petition. The unit administrator shall then notify the members of the appropriate committee that the PAD, including external reviews, is available.
   
   If, prior to August 1 of the summer during which a candidate’s material is under review, someone who has agreed to conduct a review withdraws or it otherwise becomes known that an agreed-upon review will not be forthcoming, the Tenure Committee will provide the unit administrator with the name of an additional reviewer from the prioritized list, following the same procedure that resulted in the original list. When fewer than three external reviews are received by the deadline set in the letter to the external reviewers that accompanied the candidate’s materials, this information, by memorandum from the unit administrator, shall be made a part of the candidate's PAD as the review process continues.
   
   All external reviews received by the deadline specified in Part X of the East Carolina University Faculty Manual must be included in the PAD. In the case that the number of reviews received exceeds the number of reviews set by the candidate’s Unit Code, all reviews received shall be included in the candidate’s PAD. Copies of all written communications with reviewers who complete timely reviews shall be placed in the candidate’s PAD. Copies of all written communications with other potential reviewers shall be placed in the candidate’s personnel file.
6. Documentation for Personnel Actions
   1. Employment Applications
      Information on job applicants is to be kept in a secure file available to the appropriate committee members (see subsection IV.A).
   2. Professional Portfolio for Advancement in Title
      The Professional Portfolio (hereinafter "Portfolio") is a file containing materials for evaluating a faculty member's professional activities and accomplishments. The Portfolio is compiled by candidates for advancement in title. If the faculty member is considering requesting advancement in title, they may request a consultation with the Personnel Committee. Additional materials submitted by the faculty member for inclusion in the Portfolio will be reviewed by the Personnel Committee in consultation with the unit administrator. The Portfolio will be used by the Personnel Committee in making recommendations for advancement in title. Prior to a committee's review, the unit administrator will confirm that the candidate's Portfolio contains all required materials. Documents may not be added to the Portfolio after the deadline for submitting the Portfolio to the Personnel Committee. If a candidate's Portfolio is missing any required document, the review process is halted until the Chancellor approves an extension of time to secure required documents. Documents may not be added to the Portfolio after the deadline for submitting the Portfolio to the Personnel Committee, as specified in Part X, except where revised deadlines are approved in writing by the Chancellor. A committee's deliberations are not limited to the contents of the Portfolio and may address any of the candidate's contractual duties and professional conduct (Part V.II of the East Carolina University Faculty Manual). In the review, the candidate's due process rights must be protected (see subsection IV.C).
      
      For details on the organization and content of the Portfolio, see Part X of the East Carolina University Faculty Manual.
   3. Personnel Action Dossier for Reappointment, Promotion, and Permanent Tenure
      The Personnel Action Dossier (PAD) is a file containing materials for evaluating a faculty member's professional activities and accomplishments. The dossier is compiled by candidates for reappointment, promotion, and/or permanent tenure. If the faculty member is considering requesting promotion or the early conferral of permanent tenure, they may request consultation with the Personnel Committee. Additional materials submitted by the faculty member for inclusion in the PAD will be reviewed by the Personnel Committee in consultation with the unit administrator. The dossier will be used by the appropriate committee in making personnel recommendations. Documents may not be added to the PAD after the deadline for submitting the PAD to the Tenure and/or Promotion Committee, as specified in Part X, except where revised deadlines are approved in writing by the Chancellor. Prior to a committee’s review, the unit administrator will confirm that the candidate’s PAD contains all required materials. If a candidate’s PAD is missing any required document, the review process is halted until the Chancellor approves an extension of time to secure required documents. A committee’s deliberations are not limited to the contents of the PAD and may address any of the candidate’s contractual duties and professional conduct (Part V.II of the East Carolina University Faculty Manual). While making the review, the candidate's due process rights must be protected (see subsection IV.C).
      
      For details on the organization and contents of the dossier, see Part X of the East Carolina University Faculty Manual.
   4. Disagreements as to inclusion or removal of documents
      If the faculty member disagrees with the unit administrator and/or the unit Personnel Committee as to the inclusion of relevant documents, the documents will be included and each may include a statement about the document in the dossier.
7. Initiation of Recommendations by Unit Personnel, Tenure, and Promotion Committees
   1. Procedural Rules for conducting committee business
      The unit administrator shall give timely notice to the chair of the unit Personnel Committee when personnel actions are to be initiated and of the date defined in Part X of the East Carolina University Faculty Manual by which the committee's recommendation and cumulative evaluation, if applicable, must be communicated to the unit administrator. Within 15 working days after being notified by the unit administrator that a personnel action is required, the chair of the appropriate committee shall make at least three attempts at intervals of no fewer than five working days each to hold a meeting of the appropriate committee for the pending personnel action. In order to conduct business, a committee shall not meet without a quorum. The committee meetings may be in-person, virtual, or in a hybrid format.
      
      A quorum is defined as three-quarters of the membership for a committee that has twenty or fewer members; and a quorum is defined as a majority, defined as 50% plus one, of the membership for a committee that has more than twenty members. Faculty members on approved medical leave do not attend and do not count for purposes of determining a quorum of the committee. Faculty members on non-medical leave and not in attendance at a meeting shall not be counted for the purposes of determining a quorum for that meeting. Faculty members on non-medical leave but in attendance at a meeting shall be counted for the purposes of determining a quorum for that meeting. A list of all committee members who were absent during a vote on a personnel action will be forwarded to the unit administrator. The committee may develop policies to designate certain absences as excused absences. Unexcused absences should be considered in annual evaluations.
      
      The purpose of this meeting is to deliberate and hold a vote by secret ballot on the pending personnel action. All materials pertaining to the pending personnel action (see subsection IV.E.) must be available for inspection in a secure location at least five business days prior to the meeting. Members of the committee(s) who are responsible for the pending personnel action shall review the materials individually in preparation for discussion at the meeting.
      
      For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      
      If the committee fails to meet the deadline for the submission of the committee’s recommendation specified in Part X, this outcome shall count as a recommendation by the committee against appointment, reappointment, promotion, tenure, subsequent appointment, or advancement in title. In such a case, the chair of the appropriate committee shall report in writing to the unit administrator that after at least three attempts the committee has failed to meet due to a lack of a quorum, and that this outcome constitutes a recommendation against appointment, reappointment, promotion, tenure, subsequent appointment or advancement in title. The unit administrator shall forward the committee’s recommendation and the unit administrator’s recommendation to the candidate and to the next higher administrator.
   2. Voting Procedures for Personnel Actions
      1. Faculty recommendations for initial appointments shall come from the personnel committee (for recommendations regarding initial probationary appointments, and initial fixed-term faculty appointments see subsection II). The chair of the committee shall convene a meeting of the committee. In the meeting, each member of the committee will indicate by secret ballot their choice for the appointment. A vote by a majority of the committee members present shall constitute a recommendation for an initial appointment. Abstentions and blank votes are excluded for the purposes of determining a majority vote. Failure to obtain a majority vote constitutes a recommendation against initial appointment.
         
         A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      2. Faculty recommendations for subsequent appointments or advancement in title of faculty members currently holding fixed-term appointments shall come from the Personnel Committee. Within fifteen working days of notification by the unit administrator of the need to initiate a recommendation for subsequent appointment or advancement in title, the chair of the Personnel Committee shall convene a meeting of the committee.
         
         At the scheduled meeting, the committee will deliberate and subsequently choose the method to vote by secret ballot on the recommendation for subsequent appointment or advancement in title.
         
         During deliberations, the committee may address any of the candidate’s professional activities and conduct. However, the candidate's due process rights must be protected during the review.
         
         A vote for the recommendation by a majority of the committee members present shall constitute a recommendation for a subsequent appointment. Abstentions and blank votes are excluded for the purposes of determining a majority vote. Failure to obtain a majority vote constitutes a recommendation against a subsequent appointment or advancement in title.
         
         A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      3. Faculty recommendations for reappointment of probationary term faculty shall come from the Tenure Committee. Within fifteen working days of notification by the unit administrator of the need to initiate a reappointment recommendation, the chair of the Tenure Committee shall convene a meeting of the committee.
         
         At the scheduled meeting, the committee will deliberate and subsequently choose the method to vote by secret ballot on the recommendation for reappointment.
         
         During deliberations, the committee may address any of the candidate's professional activities and conduct. However, the candidate's due process rights must be protected during the review.
         
         A vote for the recommendation by a majority of the committee members present shall constitute a recommendation for reappointment. Abstentions and blank votes are excluded for the purposes of determining a majority vote. Failure to obtain a majority vote constitutes a recommendation against a reappointment.
         
         A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      4. Faculty recommendations for promotion and conferral of permanent tenure shall come from the appropriate committee (see subsection IV.D). Within fifteen working days of notification by the unit administrator of the need to initiate a personnel action, the chair of the appropriate committee shall convene a meeting of the committee (see subsection IV.F.1.). Five calendar days prior to the scheduled meeting to deliberate and vote on the required personnel action, the committee or a subcommittee elected by the appropriate committee in accordance with Section IV will prepare a draft cumulative evaluation in narrative form. This draft evaluation shall be prepared based on the candidate's Personnel Action Dossier and shall evaluate their strengths and weaknesses in light of the unit's established criteria, similar to the evaluations of Progress Toward Tenure conducted annually during the probationary term.
         
         At the scheduled meeting described above, the committee shall discuss and edit the draft cumulative evaluation and subsequently choose the method to vote by secret ballot on the recommendation for promotion and/or conferral of permanent tenure.
         
         The committee's deliberations may address any of the candidate's professional activities and conduct. The candidate's due process rights must be protected during the review (see subsection IV.C).
         
         If the committee chooses to vote on the recommendation at this meeting, the vote will be taken by secret ballot. Immediately following this vote on the recommendation and prior to the adjournment of the meeting, the committee may finalize and vote on approval of the cumulative evaluation.
         
         If the committee chooses to vote on the recommendation by mail, it may decide to reconvene in a later meeting to revise and approve the cumulative evaluation. For electronic voting, procedures specified in subsection IV.G.2.d below must be followed.
         
         A committee shall not reconsider a vote on a cumulative evaluation or personnel recommendation after the committee has notified the unit administrator of its recommendation.
         
         For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
      5. Electronic voting
         Committee members may choose to vote electronically using the university-adopted system for electronic voting. Procedures for electronic voting must be consistent with Robert's Rules of Order, Newly Revised. If a committee chooses to vote electronically, all members must vote electronically.
         
         Electronic votes not cast will be considered abstentions and will be excluded for the purposes of determining a majority vote.
         
         If a committee votes by a university-adopted electronic system, a faculty member on non-medical leave may choose either to vote or not to vote, at their discretion. The unit administrator shall ascertain and shall inform the chair of the appropriate committee in writing as to whether or not a faculty member on non-medical leave will participate in balloting. If a faculty member on non-medical leave chooses to participate in balloting, the faculty member shall count in determining a majority vote in favor of the recommendation. If the faculty member on non-medical leave chooses not to participate in balloting, the faculty member shall not count in determining a majority vote in favor of the recommendation. Faculty members on approved medical leave are not permitted to participate in University business during the approved leave.
8. College Promotion and Tenure Committee
   1. Function
      A College Promotion and Tenure Committee, if established in the unit code or College constitution or bylaws, shall be responsible for advising the dean regarding promotion and the conferral of permanent tenure.
   2. Composition and Election
      The composition and election of a College Promotion and Tenure Committee shall be determined by the college according to procedures in its College Unit Code, constitution, or bylaws. The College Committee shall consist of at least three permanently tenured faculty members from the College holding the rank of professor, but excluding the dean and unit administrators. If the committee consists of only three members, there shall be a sufficient number of alternates, as needed, to ensure there are always three voting members of the committee. Procedures shall ensure that faculty members serving on the College committee shall have only one vote, either on the unit committee or the College committee.
      
      A committee shall not reconsider a personnel recommendation after the committee has notified the unit administrator of its recommendation.
      
      For limitations on participation in personnel actions due to potential conflicts of interest, see subsection IV.C.3.
9. Notification of Recommendations
   The faculty member shall be informed in writing of all personnel recommendations at every level, continuing up to the level where the final decision is made. Recommendations shall be communicated by the chair of the respective committee(s) to the candidate, sent by a method that provides delivery verification.
   
   Tenure and/or promotion recommendations shall be accompanied by a notification that the candidate has seven working days to respond to the cumulative evaluation(s), if desired. In accordance with the deadline in Part X.II of the East Carolina University Faculty Manual, the committee shall forward to the unit administrator its recommendation, cumulative evaluation, and the candidate’s response, if any.
   
   A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
   
   For tenure and/or promotion decisions, the unit administrator prepares a separate cumulative evaluation with a recommendation and communicates it to the candidate, the committee, and the next higher administrator. The written notification shall contain the statement that the candidate has seven working days from the date of receipt of the notification letter, sent by a method that provides delivery verification, to provide a written response to the cumulative evaluation for inclusion in the PAD, if desired.
10. Procedure for Concurring and Non-Concurring Recommendations concerning Reappointment, Promotion, and/or the Conferral of Permanent Tenure, Subsequent Appointment and Advancement in Title
    
    1. Subsequent Appointment and Advancement in Title
       If a unit administrator and the committee disagree on a recommendation for subsequent appointment, and/or advancement in title, the unit administrator shall discuss the potential non-concurrence with the unit committee before forwarding the committee’s recommendation and their concurrence or non-concurrence to the next higher administrator.
       
       A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
       
       After the appropriate committee and the unit administrator transmit their recommendations to the next higher administrator, that administrator performs their own review. The administrator shall discuss any potential non-concurrence with the unit committee before forwarding their concurrence or non-concurrence, along with the recommendations from the committee and the unit administrator, to the next higher administrator. The same procedure shall be repeated at each administrative level until the recommendation reaches the final level of decision.
       
       Immediately after the completion of each level of administrative review, the administrator's recommendation shall be communicated to all appropriate lower administrators, the candidate, and the committee of the unit which made the initial recommendation.
       
       
    2. Reappointment, Promotion, and/or the Conferral of Permanent Tenure
       If a unit administrator and the appropriate committee disagree on a recommendation for reappointment, promotion, and/or the conferral of permanent tenure, the unit administrator shall discuss the potential non-concurrence with the unit committee before forwarding the committee's recommendation and their concurrence or non-concurrence to the next higher administrator.
       
       A committee shall not reconsider a vote on a personnel recommendation after the committee has notified the unit administrator of its recommendation.
       
       After the appropriate committee and the unit administrator transmit their recommendations to the next higher administrator, that administrator performs their own review. The administrator shall discuss any potential non-concurrence with the unit committee before forwarding their concurrence or non-concurrence, along with the recommendations from the committee and the unit administrator, to the next higher administrator. The same procedure shall be repeated at each administrative level until the recommendation reaches the Provost.
       
       Immediately after completion of each level of administrative review, the administrator's recommendation shall be communicated to all appropriate lower administrators, the candidate, and the committee of the unit which made the initial recommendation.
       
       If the Provost concurs in a recommendation for promotion and/or conferral of permanent tenure, the Provost shall forward the recommendation to the Chancellor for the Chancellor's review.
       
       A decision by the Provost to reappoint is final unless it is accompanied by a request for tenure or a request for promotion; a decision to reappoint with tenure is final only upon recommendation of the Chancellor and approval by the Board of Trustees; a decision to promote without tenure is final only when approved by the Chancellor.
       
       In the event that the Provost is considering a recommendation concerning reappointment, promotion, and/or the conferral of permanent tenure that is contrary to the recommendation of the appropriate unit committee, the Provost shall meet with the committee to discuss the potential non-concurrence. Regardless of the recommendation of the appropriate unit committee, if the Provost decides against reappointment, promotion, and/or conferral of permanent tenure, the Provost shall give the faculty member being considered a simple, written statement of the decision. This statement serves as notification of non-reappointment in accordance with UNC Code 604. This decision is final except as it may later be reviewed in accordance with the grievance procedure of Part XII.I of the East Carolina University Faculty Manual.
       
       If the Chancellor concurs in a recommendation to confer permanent tenure, the Chancellor shall submit the recommendation to the Board of Trustees for approval. The Board’s decision is final except in the case of a denial, which may be reviewed in accordance with the grievance procedure of Part XII.I of the East Carolina University Faculty Manual. If the Chancellor concurs in a recommendation in favor of promotion in the absence of a request for tenure, the Chancellor’s approval shall be final.
       
       If the Chancellor decides not to recommend promotion or the conferral of permanent tenure, the Chancellor shall give the faculty member being considered a simple, written statement of the decision. This decision is final except as it may be reviewed in accordance with the grievance procedure of Part XII.I of the East Carolina University Faculty Manual, as appropriate.

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¹ Except for Brody School of Medicine fixed-term personnel issues, where the Chancellor's designee is the Dean, the Chancellor's designee shall be limited to the Provost and Senior Vice Chancellor for Academic Affairs.

² The chancellor, in consultation with the office of the Faculty Senate, is responsible for the publication of the East Carolina University Faculty Manual. The Senate office shall be responsible for the maintenance of the East Carolina University Faculty Manual. The East Carolina University Faculty Manual shall contain the tenure and personnel policies and regulations of East Carolina University, including the complete text of Chapter Six of The Code of The University of North Carolina. The East Carolina University Faculty Manual shall be provided to new faculty and changes as they occur shall be distributed to each faculty member.

³ When a faculty member applies for and then withdraws a request for early consideration for permanent tenure, a copy of all documents submitted to support the request and a record of all decisions by the appropriate committee and any administrator(s) shall be directly forwarded to the Provost.

⁴ A faculty member considering such action is encouraged to seek consultation with the unit Personnel Committee and the unit administrator. When a faculty member applies for and then withdraws a request for promotion, a copy of all documents submitted to support the request and a record of all decisions by the appropriate committee and any administrator(s) shall be directly forwarded to the Provost.

⁵ Except as provided herein, meetings of the committees shall be conducted according to the most recent edition of Robert's Rules of Order, Newly Revised.

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Approved (entire document)

Faculty Senate Resolution #06-19, January 9, 2007
Erskine Bowles, President of UNC System

Interpretation #I06-22/Faculty Senate Resolution #06-20, May 2006 (Chancellor)

Faculty Senate Resolution #09-51, July 12, 2010
Erskine Bowles, President of UNC System (with editorial revision to section V.B.2 as suggested)

Interpretation #I11-01/Faculty Senate Resolution #11-43, May 2011 (Chancellor)

Faculty Senate Resolution #16-15, April 7, 2017 Effective date: July 1, 2017
Margaret Spellings, President of UNC System (with editorial revisions as suggested)

Interpretation #I17-01/Faculty Senate Resolution #17-65, November 2017 (Chancellor)
Interpretation #I20-01
Interpretation #I21-01
Editorial revision in October 2021 to remove sections that were moved into Part XII following approval of Faculty Senate Resolutions #19-69, #19-70, and #19-76).

Faculty Senate Resolution #24-53, September 2024 (Chancellor)

Faculty Senate Resolution #24-79, February 2025 (Chancellor)

Part IX, Section II: Performance Review of Tenured Faculty of East Carolina University

• I. Preamble
• II. Description of Policy
  1. Timing
  2. Performance Standards for the Review
  3. Peer Review Committee (PRC)
  4. Review Process
  5. Rewards
  6. Faculty Success Plan
  7. Subsequent Evaluation
  8. Training
• III. Forms
  Guidelines for Faculty 5-Year Plan (link provides all forms, or they can be accessed below)
  1. Faculty 5-Year Comprehensive Work Plan
  2. Faculty Self-Assessment
  3. Report on Performance Review of Tenured Faculty

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I. Preamble

On May 16, 1997, the Board of Governors mandated the review of performance of tenured faculty in the University of North Carolina system. The June 24, 1997, Administrative Memorandum #371 from the General Administration of the UNC System required each constituent institution to create a policy that examines individual faculty contributions to departmental, school/college, and university goals as well as to the academic programs in which faculty teach. On January 25, 2024, the UNC Board of Governors adopted the policy "Performance Review of Tenured Faculty (Post-Tenure Review)" (The UNC Policy Manual 400.3.3). On March 3, 2024 the UNC Board of Governors adopted its Regulation on Performance Review of Tenured Faculty (Post-Tenure Review).

The performance review of tenured faculty is a cumulative, comprehensive periodic evaluation of tenured faculty, and has the purpose of supporting and encouraging excellence among tenured faculty.

UNC Policy 400.3.3 is designed to assist faculty members in meeting university performance expectations; recognize and reward exemplary faculty performance when faculty members exceed expectations; provide a clear plan and timetable for improvement of performance when faculty do not meet expectations; and provide for the imposition of appropriate sanctions, consistent with Chapter VI of The Code of the University, when faculty members do not meet the goals established in a faculty success plan. The policy directs individual institutions to adopt and maintain policies consistent with the mission of the institution, college, and department/program. These policies shall be reviewed and as needed, updated at least every three years.

The post-tenure review of each tenured faculty member shall take place at least every five years. All participants in the post-tenure review shall consider the faculty member's annual evaluations and any faculty success plans that were required in the time period under review. The review shall include faculty self-evaluation, involve peers in the review process, assure written feedback as well as a mechanism for faculty response to the evaluation, and require a faculty success plan for any faculty member whose performance review results in "does not meet expectations" in any area.

East Carolina University’s Policy for the Performance Review of Tenured Faculty is consistent with University of North Carolina Policy 400.3.3 and is consistent with the East Carolina University Faculty Manual and "The Code of the Board of Governors of the University of North Carolina" (hereafter The Code). This policy does not create a process for the reevaluation or revalidation of tenured status. The standard for the performance review of tenured faculty member performance is whether they discharge conscientiously and with professional competence the duties associated with their position. Furthermore, the policy is created with the presumption of competence on the part of each tenured faculty member. The performance review for a faculty member must reflect the nature of the individual’s field or work and must conform to fair and reasonable expectations as recognized by faculty peers in the individual's academic unit. The performance review must be conducted in a manner free of arbitrary, capricious, or discriminatory elements and must follow the procedures delineated in the subsections below.

II. Description of Policy

1. Timing
   For each tenured faculty member, a post-tenure review shall take place at least every five years. A review undertaken as part of the process for conferring tenure or recommending a faculty member for promotion qualifies as a cumulative performance review; the next post-tenure review shall occur five years after the date of the conferral of tenure or promotion regardless of the date of any preceding review. For permanently tenured full-time faculty members who have received University approved leaves of absence, the expectations for the review period will be adjusted accordingly and reflected in the individual's five-year work plan. If a tenured faculty member is reassigned to administrative duties (e.g., department chair) for .50 FTE or more, or is occupying a leave-earning position (e.g., SAAO), that faculty member shall not be required to undergo post-tenure review until having completed a five-year cycle following the reassignment.
2. Performance Standards for the Review
   Units shall establish in their unit codes post-tenure review standards of "exceeds expectations," "meets expectations“ or "does not meet expectations". The following terms shall be utilized when establishing the unit standards:
   1. Exceeds expectations: The faculty member consistently exceeds established goals in the faculty member's annual and long-term work plans.
   2. Meets expectations: The faculty member consistently achieves and may occasionally exceed established goals in the faculty member's annual and long-term work plans.
   3. Does not meet expectations: The faculty member does not consistently meet established goals in the faculty member's annual and long-term work plans.
      
      The unit standards will comply with the provisions of Part VIII, Section I.I (subsections C and D) of the East Carolina University Faculty Manual, the unit code provisions, and the primacy of instruction within the UNC system institutions. The unit standards should be consistent with the mission and applicable strategic goals of the institution, college, school, department/program. Expectations at the time of the conferral of permanent tenure for individual faculty members should be considered when reviewing the faculty member's performance in teaching, research/creative activity, patient care and related clinical responsibilities, and other duties, including contributions to the departmental, college/school, and university goals, contributions to the academic programs in which the faculty member teaches, and any other professional activities bearing on the faculty member's performance of their duties during the period under review.
3. Peer Review Committee (PRC)
   The unit administrator will notify the chair of the Personnel Committee that post-tenure review is needed. The chair of the Personnel Committee will convene a meeting of the Tenure Committee to elect the Peer Review Committee members.
   
   The Tenure Committee will elect a minimum of three faculty members and one alternate from the permanently tenured voting faculty (East Carolina University Faculty Manual, Part IX.I, subsection IV.B. Description of Unit Voting Faculty Members) not holding administrative status to serve on the Peer Review Committee. The alternate shall serve when a member is unable to serve. The faculty member being reviewed shall not have the option of selecting members of the Peer Review Committee. Members on the Performance Review Committee shall serve for one academic year.
   
   After the election, the chair of the Personnel Committee will call a meeting of the Peer Review Committee. If the chair of the Personnel Committee is not a member of the Peer Review Committee, the chair shall not be able to participate and shall only be responsible for calling the meeting of the Peer Review Committee and ensuring the election of a chair from among its membership. In such cases where the Chair of the unit Personnel Committee is ineligible to participate, they shall not attend any meetings of the committee except to facilitate the election of the chair as noted above.
   
   If the unit's tenured faculty includes no other expert in the specific field of research/creative activity of the faculty member under review, at the candidate's request, the tenured faculty may establish a process for selecting external faculty experts to provide a review of the candidate's research/creative activity work. The external expert shall be a tenured faculty member and, if available, from a UNC constituent institution.
   
   When a unit is unable to elect three permanently tenured voting faculty members not holding administrative status, the next higher administrator above the unit level shall appoint permanently tenured voting faculty members not holding administrative status from other units to increase the committee’s membership to three members and one alternate. These appointments to the committee must be from one list of candidates selected by a vote of the permanently tenured and probationary-term voting faculty of the unit. The list forwarded to the next higher administrator by the appropriate faculty will contain at least twice the number of faculty members required to complete the membership of the committee. Before voting on the list to be forwarded to the next higher administrator, the voting faculty will ascertain that faculty members nominated to have their names placed on the list are willing and able to serve in this capacity. The list of faculty names recommended to the next higher administrator may not be returned for revision.
4. Review Process
   Performance Review of Tenured Faculty shall cover all aspects of the faculty member’s professional performance. The review will consider the faculty member’s annual reports and annual evaluations (East Carolina University Faculty Manual, Part VIII.I.III. Evaluations), annual and long-term work plans, and any faculty success plans that were required in the time period under review. Annual evaluations are not determinative of the post-tenure review outcome, but faculty members should not receive a "does not meet expectations" post-tenure review evaluation unless they have sub-par annual evaluations. Should a subsequent academic unit administrator disagree with the annual reviews and annual reports of an individual faculty member composed before the term of office of the incumbent administrator, the administrator shall not dismiss, alter, or argue against the body and conclusions of the earlier annual reviews and reports.
   
   The review shall be based on a comprehensive assessment of the faculty member's teaching, research, service, and other duties, including contributions to the departmental, college/school and university goals, contributions to the academic programs in which the faculty member teaches, and any other professional activities bearing on the faculty member's performance of their duties during the period under review.
   
   At the beginning of the post-tenure review cycle, using Form A below, the faculty member in collaboration with the unit administrator shall develop a five-year comprehensive work-plan. A faculty member, in consultation with their unit administrator, is allowed to modify the five-year-plan annually, as deemed appropriate by changes in institutional, departmental, or person circumstances.
   
   Once the five-year comprehensive work plan is created and using Form B below, the faculty shall write a self-assessment.
   
   The faculty member shall forward to the Peer Assessment Review Committee their self-assessment, annual reports, annual evaluations, peer assessment of teaching effectiveness (Faculty Senate Resolution #24-52, #24-83), the faculty member's annual and 5-year comprehensive work plan (past and future), any faculty success plans that were required for the period under review, a copy of the faculty member's current curriculum vitae, and any other material the faculty member wants to provide to the review committee in support of their professional performance over the review period.
   
   The Peer Review Committee, using the attached Form, shall prepare a brief, written rationale for assessment in each relevant category (teaching, research/creative activity, service, other as included in the unit code) and an overall assessment of performance of the faculty member under review. The review shall include ratings that summarize the faculty member's performance in each category of responsibility as "exceeds expectations", "meets expectations" or "does not meet expectations" and shall conclude with an overall ranking. Any performance review that indicates the faculty member does not meet expectations in any category shall include a statement of the faculty member's primary responsibilities and specific descriptions of shortcomings as they related to the faculty member's assigned duties.
   
   The Peer Review Committee using Form C below shall provide a copy of their performance review to the faculty member. The faculty member may provide a written response within 14 calendar days of receiving the review.
   
   The performance review, the materials submitted by the faculty member, and any written response from the faculty member shall be forwarded to the unit administrator. The unit administrator shall consult with the Peer Review Committee before rendering their own evaluation. Potential disagreements between the committee and the unit administrator shall be addressed during this consultation.
   
   After the consultation and using the Form C below, the unit administrator shall provide a separate, written evaluation of the faculty member. That evaluation shall explicitly state points of concurrence or points of variation from the review committee. Any recommendation for a faculty success plan or for recognition of performance that exceeds expectations shall be accompanied by a specific rationale for that recommendation.
   
   The unit administrator shall provide a copy of their evaluation to the faculty member and the Peer Review Committee. The faculty member may provide a written response within 14 calendar days of receiving the reports. A copy of the faculty member's response will be provided to the Peer Review Committee and unit administrator.
   
   The dean shall be provided the unit's Performance Standards for Review, the materials submitted by the faculty member, the Peer Review Committee's report, the unit administrator's report and any written response from the faculty member. The dean shall discuss any potential non-concurrence with the committee before preparing their own performance review report.
   
   The dean shall prepare their own performance review report which shall consist of a narrative evaluation of the overall performance of the candidate that takes into consideration the faculty member's annual workplans during each of the years being reviewed. The evaluation shall conclude with an overall ranking that categorizes each faculty member's performance as "meets," "exceeds," or "does not meet" expectations. A negative review must include a statement of the faculty member's primary responsibilities and specific descriptions of shortcomings as they relate to the faculty member's assigned duties.
   
   The dean shall forward their report to the faculty member, the unit administrator and the Peer Review Committee. A faculty member may provide the dean with a written response within 14 calendar days of receiving their college performance review. A copy of the faculty member's response will be provided to the unit administrator and the Peer Review Committee. A faculty member's response will be forwarded to the Provost, along with the complete performance review materials to be included in the personnel file.
   
   A faculty member whose review results in an overall rating of "exceeds expectations" or "meets expectations" shall be considered to have completed the post-tenure review process. A faculty member whose review results in "does not meet expectations" shall be subject to a faculty success plan. At the discretion of the faculty member, the final review may be appealed in accordance with the provisions of the grievance procedure of Part XII.I as appropriate.
   
   After the review is complete, the dean shall forward their report and any faculty member's response to the Provost, who is responsible for ensuring the integrity of the review process. The Provost will annually certify to the UNC President or their designee that all aspects of the review process are in compliance with UNC Policy 400.3.3.
5. Rewards
   UNC Policy 400.3.3. entitled "Performance Review of Tenured Faculty (Post-Tenure Review)" requires that faculty whose post-tenure performance exceeds expectations shall be recognized and rewarded. A faculty member whose performance is deemed to have exceeded expectation may be recognized in ways including, but not limited to, nomination for awards, merit salary increases, research leaves, and/or revisions of work load.
6. Faculty Success Plan
   A faculty member whose performance does not meet expectations shall negotiate a formal success plan with the Peer Review Committee, the unit administrator, and in consultation with the dean. The success plan must: (a) identify specific shortcomings as they relate to the faculty member’s performance of their assigned duties; (b) state any modification of duties due to a less than satisfactory rating and take into account the new allocation of responsibilities; (c) ensure that changes to duties are not punitive, but instead address ways to support the institution to better leverage the faculty member's expertise and abilities and improve their performance in any areas deemed deficient; (d) include specific steps designed to lead to a faculty member's improved performance; (e) specify resources necessary to support the success plan, (f) specify a timeline of at least two academic years in which improvement is expected to occur; (g) schedule and require written records of progress meetings between the faculty member, the unit administrator and the chair of the Peer Review Committee at regular intervals no less frequently than twice each academic year; (h) state the consequences for the faculty member should improvement not occur within the designated timeline. The use of mentoring peers is encouraged.
   
   The description of specific steps designed to lead to improvement shall state guidelines, present criteria by which the faculty member could monitor their progress, and identify the source of any institutional commitments, if required. The plan is a commitment by the faculty member, with support provided by the Peer Review Committee, and the unit administrator to improve the faculty member’s performance. Adequate resources shall be provided to support the plan. The plan shall be consistent with the faculty member’s academic freedom (as defined by the East Carolina University Faculty Manual, Part V), shall be self-directed by the faculty member, and shall be sufficiently flexible to allow for subsequent amendment, if necessary. Such amendment will follow the same process as the development of the original plan. If the unit administrator, Peer Review Committee, and faculty member cannot agree on a formal success plan, each party’s draft of a plan will be forwarded to the next higher administrator, who will make the final decision.
   
   The faculty member’s success progress shall be reviewed in a meeting that occurs at least twice each academic year with the Peer Review Committee and the unit administrator. The unit administrator shall provide a written evaluation of progress to the faculty member. If the unit administrator, the Peer Review Committee, and the faculty member cannot agree on the faculty member’s progress, the next higher administrator will meet with the relevant parties and make a final determination. A copy of this evaluation will be provided to the faculty member and placed in the faculty member’s personnel file.
7. Subsequent Evaluation
   If the unit administrator and the Peer Review Committee determine that the faculty member’s cumulative performance exceeds or meets expectations within the specified timeline, the unit administrator shall report the results of the performance review in writing to the faculty member and place a copy of the written evaluation in the faculty member’s personnel file. In this case, the faculty member will return to the regular schedule of post-tenure review.
   
   If the faculty member’s cumulative performance level remains below expectations after the specified timelines, the unit administrator may recommend that serious sanctions be imposed as governed by Part XII, Section I (VI), “Due Process Before Discharge or Imposition of Serious Sanction,” of the East Carolina University Faculty Manual and Chapter VI of The Code of the Board of Governors of the University of North Carolina.
   
   *With respect to personnel matters relating to Performance Review, academic units are defined as departments described in the codes of operation of professional schools, the departments in the College of Arts and Sciences, professional schools without departments, Academic Library Services, Health Sciences Library, and any other units in which faculty appointments are made. In the College of Arts and Sciences and in professional schools whose unit codes describe departmental structures, departmental chairs are the unit administrators. In schools that do not have departments described in their unit codes, the dean of the school is the unit administrator.
8. Training
   All parties involved in the Performance Review of Tenured Faculty evaluations, including Peer Review Committee members, department chairs, unit administrators, and deans, shall complete performance review training provided by the UNC System.

III. Forms

Guidelines for Faculty 5-Year Plan (link provides all forms, or the forms are also available below)

1. Faculty 5-Year Comprehensive Work Plan (docx)
2. Faculty Self-Assessment (docx)
3. Report on Performance Review of Tenured Faculty (docx)

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Faculty Senate Resolution #98-13, April 1998
Faculty Senate Resolution #98-29, November 1998
Interpretation I98-10 made to Section II., October 1998 Faculty Senate Resolution #08-42, August 2010 (UNC General Administration)
Faculty Senate Resolution #09-33, August 2010 (UNC General Administration)
Faculty Senate Resolution #15-28, October 2015 (UNC General Administration)

Faculty Senate Resolution #24-37, September 2024

Faculty Senate Resolution #24-54, June 2024

Faculty Senate Resolution #25-06, February 2025

Part X, Section I: Documentation for Personnel Actions

CONTENTS

1. Documentation for Advancement in Title for Fixed-Term Faculty
   1. Professional Portfolio (Portfolio) for Advancement in Title
   2. Cumulative Report for Advancement in Title
2. Documentation for Personnel Actions of Probationary (Tenure-Track) and Tenured Faculty
   1. Personnel Action Dossier (PAD) for Reappointment, Tenure, and Promotion
   2. Cumulative Report for Reappointment, Tenure, and Promotion

I. Documentation for Advancement in Title of Fixed-Term Faculty

Persons holding the fixed-term titles below the titles of Teaching, Research, Clinical, or Library Professor may be considered for advancement in title to the next professorial title. Advancement in title shall be based on the faculty member's demonstrated professional competence and achievements. Advancement in title is governed by the policies and procedures set forth in Part IX.I.IV of the East Carolina University Faculty Manual.

A. Professional Portfolio (Portfolio) for Advancement in Title

The Professional Portfolio is a collection of documents and lists of accomplishments in summary form that provides a record of the accomplishments of a faculty member seeking advancement in title. Each time a personnel action for advancement in title takes place a Portfolio is compiled in a manner described in Part IX of the East Carolina University Faculty Manual. Each Portfolio becomes part of the faculty member's permanent personnel file. For further information about personnel files, please refer to Part VIII.I.VIII of the East Carolina University Faculty Manual.

In evaluating a candidate for advancement in title, all of the candidate's professional activity shall count, but activity since the last advancement in title at ECU shall carry a greater weight than activity prior to the last advancement (see Part IX of the East Carolina University Faculty Manual). Within the Portfolio the candidate should supply dates for all listed activities and accomplishments, making it possible for reviewers to identify clearly the chronology of accomplishments related to the time of hire, or last advancement in title.

The Professional Portfolio shall include the following items:

1. A properly executed East Carolina University Cumulative Report for Advancement in Title (docx) is required for these personnel actions. It is the responsibility of the faculty member to have prima facie evidence of all activity listed in this report available for inspection, if requested, by reviewers at any level of the personnel action process.
2. Recommendations (Note: The documents listed here will be added by the appropriate official as the personnel action progresses.)
   1. Unit Personnel Committee's recommendation, signature of the chair of the unit Personnel Committee, and date
   2. Unit administrator's recommendation, signature, and date
   3. Dean's recommendation, signature, and date
   4. Provost recommendation, signature, date
3. Records of Evaluation
   1. Listing of the criteria for advancement in title set forth by the code unit of the faculty member.
   2. Records of the annual discussions on the criteria for evaluating faculty performance, on workplan if applicable, on annual evaluation, and on success plan, if any, meetings with the unit administrator. If last advancement in title took place more than 7 years ago, only the last 7 years should be included. See Part VI.I.I. and Part VIII.I.II of the East Carolina University Faculty Manual.
   3. Records of the assigned teaching duties and responsibilities including indication of reassigned time, workplans if applicable, and success plans, if any, over the period of time appropriate to the decision. If the last advancement in title took place more than 7 years ago, only the last 7 years of these records shoudl be included.
   4. Workplans if applicable, annual evaluations, and success plans if any, over the period of time appropriate to the decision. If last advancement in title took place more than 7 years ago, only the last 7 years should be included.
4. Supporting materials
   The faculty member, in consultation with the unit administrator and the chair of the unit personnel committee, may add materials, in addition to those required to provide prima facie evidence as required in Part X.1.A. of the East Carolina University Faculty Manual in support of the activities and accomplishments listed in the East Carolina University Cumulative Report for Advancement in Title.
5. Other material
   Materials not included in the categories listed in the cumulative report may be added to the Portfolio by the faculty member providing the unit administrator, in consultation with the Unit Personnel Committee, has an opportunity to include a response to such materials. In the event the unit administrator and Unit Personnel Committee cannot agree on a response, both may include a response.
6. Disagreements as to the inclusion or removal of documents
   The Portfolio shall include the required documents and lists relevant to the faculty member's relevant duties as described above. If the faculty member disagrees with the unit administrator and/or the unit personnel committee as to the inclusion of relevant documents, the documents will be included and each party may include a statement about the document in the Portfolio.

B. Cumulative Report for Advancement in Title

A properly executed East Carolina University Cumulative Report for Advancement in Title (docx) is required for these personnel actions. It is the responsibility of the faculty member to have prima facie evidence of all activity listed in this report available for inspection, if requested, by reviewers at any level of the personnel action process.

1. General Information
   1. Name
   2. College or Professional School and Department
   3. Date of first appointment to ECU
   4. Present title and date at which present title was established
   5. Educational background: degrees, dates conferred, and institutions. Indicate the status of any degree program in process.
      Include the following where applicable:
      1. Postgraduate Training Fellowships
      2. Residencies
      3. Traineeships
   6. Administrative appointments or special assignments (list positions and dates in reverse chronological order with percentage of time assigned)
   7. Professional credentials (certifications and licensures)
   8. Professional employment history (list positions, titles, and dates of appointments in reverse chronological order)
   9. Formal continuing education for professional development (courses, seminars, institutes, etc. and dates in reverse chronological order). School of Medicine (clinical staff): List all postgraduate Continuing Medical Education completed in the last 3 years (in reverse chronological order).
2. Teaching (Didactic and Clinical) and Advising [narrative or bulleted list and relevant date(s)].
   For those faculty with teaching and advising as part of their duties, the Portfolio should include the following information:
   1. A brief self-assessment of teaching effectiveness
   2. Teaching experience
      1. Chronological list of all courses taught including year, semester, section, and enrollments.
      2. Chronological list of all peer reviews including year, semester, course, section and reviewer name.
   3. Noteworthy accomplishments and practices in teaching.
   4. Noteworthy accomplishments and practices in advising and retention.
   5. Extraordinary duties assigned or elected in advising.
   6. Direction of student research and performances:
      1. List undergraduate students and projects.
      2. List graduate students and projects.
      3. List memberships in graduate student's thesis/dissertation committees.
   7. Grants (listed by year in reverse chronological order) in support of teaching and advising.
      Provide a list of all grants applied for, listing for each the source, amount requested, title, and co-investigators. Designate status: awarded (including amount awarded if different from request), pending, rejected.
      1. Grants/proposals through Office of Sponsored Programs
      2. Grants/proposals through the Division of Institutional Advancement
      3. University Grants
      4. Reports to granting agencies: list agency(ies)
   8. Medical Education:
      1. Undergraduate medical student teaching, including didactic lectures, clinical teaching, conferences, laboratories, student advising, and student preceptorships.
      2. Postgraduate medical teaching including clinical teaching and continuing medical education.
         Note: Evidence of Teaching Effectiveness shall be included in Section D, Supporting Materials. If last advancement in title took place more than 7 years ago, only the last 7 years should be included. The Teaching Effectiveness section should include:
         1. (Required) Reports from university approved student evaluations. Data should not be condensed or summarized, but included as it appears in the original survey reports. Student comments may be included at the discretion of the candidate but are not required. If student comments for a class are included, all comments from the original survey report for that class must be included.
         2. (Required) Reports from all peer assessments of instruction.
         3. (Optional) Instructional materials or other evidence of pedagogical innovation or impact (see East Carolina University Faculty Manual, Part VIII, Section I, Subsection III).
3. Research/Creative Activity. For those faculty with research as part of their duties, the Professional Portfolio should include the following information:
   1. A brief statement of research activities and interests.
   2. A complete list of publications in print, in reverse chronological order, beginning with the most recent publications (Note: School of Medicine should use the AMA format for publications):
      1. Books and monographs
      2. Journal articles
      3. Chapters in books
      4. Book reviews in professional journals
      5. Abstracts (including those published in proceedings)
      6. Microforms
      7. Sound/video recordings, musical scores
      8. Art exhibitions, pictures in books, applied art
      9. Articles in proceedings
      10. Intellectual property protections (such as patents)
      11. Editorships of professional journals or books
      12. Musical performances and productions
      13. Theatrical performances and productions
      14. Software development
      15. Electronic publications
      16. Clinical trials
      17. Other (e.g., entries in encyclopedias)
   3. Papers, creative works, etc. accepted for publication but not yet in print (attach a copy of letter of acceptance)
   4. Other research publications : list title(s) and publication dates and publisher
   5. Research presentations and posters: list organization, date, and title of presentation(s)
   6. Participation in expert panels (include topics, meeting, date(s).
   7. Visiting professorships or lectureships (include titles, place, date(s).
   8. Pedagogical materials: list title(s) and publication dates and publisher
   9. Grants (listed by year in reverse chronological order) in support of research/creative activity. Provide a list of all grants applied for, listing for each source, amount requested, title, Principal investigator and co-investigators. Designate status: awarded (including amount awarded if different from request), pending, rejected.
      1. Grants/proposals through the Office of Sponsored Programs
      2. Grants/proposals through the Division of Institutional Advancement
      3. University Grants
      4. Reports to granting agencies: list agency(ies)
4. Clinical Practice: For those faculty who provide patient care as a part of their duties, a patient care portfolio should be included to document their clinical practice activities. The patient care portfolio should include the following information:
   1. Summary of relevant activities in clinical practice and evaluations of patient care quality.
   2. Extraordinary duties assigned or elected in clinical practice
   3. Development and/or evaluation of clinical services and programs
   4. Community service and outreach
5. Professional and University Service (list by year, in reverse chronological order)
   1. University committees and special assignments
      1. Unit: name of committee(s), role on committee(s) (member, chair, etc.), inclusive dates of service
      2. Division: name of committee(s), role on committee(s) (member, chair, etc.), inclusive dates of service
      3. University-wide: name of committee(s), role on committee(s), inclusive dates of service
      4. UNC system: name of committee(s), role on committee(s), inclusive dates of service
      5. Special assignments: title or role, brief description of assignment, inclusive dates of service
   2. Non-university committees and service:
      1. Local
      2. Regional
      3. State
      4. Other
      5. Clinical Agency Committees and/or Hospital committees, if applicable
   3. Professional Organizations (list by year in reverse chronological order)
      1. Memberships in professional organizations: list memberships
      2. Offices held or other official functions
         President/Chair: list organization(s)
         Other office(s): list office and organization(s)
      3. Organization of meetings, workshops, and symposia: list organizations(s)
      4. Presentations (other than research) at meetings, workshops, and symposia: list organization, date, and title of presentation(s)
      5. Service as editor or editorial board member: list board(s), list role(s)
      6. Items reviewed, refereed, or juried for scholarly publications: list publication(s)
      7. Items reviewed, refereed, or juried for granting agencies: list agency(ies)
      8. Evaluation of faculty for other universities (peer review): list institution(s)
      9. Consultantships: list client, specify whether paid or unpaid, briefly define activity
   4. Other professional service
   5. Grants (listed by year in reverse chronological order) in support of professional service. Provide a list of all grants applied for, listing for each the source, amount requested, title, and co-investigators. Designate status: awarded (including amount awarded if different from request), pending, rejected.
      1. Grants/proposals through Office of Sponsored Programs
      2. Grants/proposals through the Division of Institutional Advancement
      3. University Grants
      4. Reports to granting agencies: list agency(ies)
6. Honors and other noteworthy activity not covered above
7. Administrative Activities
   1. Noteworthy accomplishments and practices in administration
   2. Extraordinary duties assigned or elected
   3. Summary of administrative evaluations
8. Community service: Include organization, dates, offices held.
9. Other: Include additional information deemed pertinent to this cumulative report.
10. Date this cumulative report was completed.

II. Documentation for Reappointment, Tenure, and Promotion

Reappointment, Tenure and Promotion shall be based on the needs and resources of the institution and on the faculty member's demonstrated professional competence and achievements. These personnel actions are governed by the policies and procedures set forth by the UNC Code and in Part IX of the East Carolina University Faculty Manual.

A. Personnel Action Dossier (PAD) for Reappointment, Promotion and Tenure

Link to Guidelines for Preparing a Cumulative Evaluation

The Personnel Action Dossier (PAD) is a collection of documents and lists of accomplishments in summary form that provides a record of the accomplishments of a faculty member seeking reappointment, promotion, or tenure. Each time a personnel action for reappointment, promotion, or tenure takes place, a PAD is compiled in a manner described in Part IX of the East Carolina University Faculty Manual. Each PAD becomes part of the faculty member’s permanent personnel file. For further information about personnel files, please refer to Part VIII.I.VIII of the East Carolina University Faculty Manual.

In evaluating a candidate for promotion, all of the candidate's teaching, scholarship, service, and other professional activity shall count, but activity since the last promotion at ECU shall carry a greater weight than activity prior to the last promotion. Within the PAD the candidate should supply dates for all listed activities and accomplishments, making it possible for reviewers to clearly identify the chronology of accomplishments related to the time of hire, tenure or last promotion (whichever is more recent).

The Personnel Action Dossier shall include the following items:

1. A properly executed East Carolina University Cumulative Report for Reappointment, Promotion and Tenure (docx) is required for these personnel actions. It is the responsibility of the faculty member to have prima facie evidence of all activity listed in this report available for inspection, if requested, by reviewers at any level of the personnel action process.
   
   Actions involving tenure also require a properly executed East Carolina University Personnel Action Summary Form (PDF).
2. Recommendations (Note: The documents listed here will be added by the appropriate official as the Personnel Action progresses.)
   1. For reappointment:
      1. Unit Tenure Committee’s recommendation, signature of the chair of the unit Personnel Committee, and date
      2. Unit administrator’s recommendation, signature, and date
      3. Dean's recommendation, signature, and date
      4. Provost's recommendation, signature, date
   2. For tenure:
      1. One cumulative evaluation in narrative form of the candidate's teaching, research, service, and any other relevant duties, prepared by the unit Tenure Committee. A draft of this cumulative evaluation, to be completed after the candidate turns in the PAD, should be available for discussion by the entire Tenure committee before the vote.
      2. A cumulative evaluation in narrative form of the candidate’s teaching, research, service, and any other relevant duties, prepared by the unit administrator.
      3. Unit Tenure Committee's recommendation, signature of the chair of the unit Personnel Committee, and date
      4. Unit administrator’s recommendation, signature, and date
      5. Dean's recommendation, signature, and date
      6. Provost’s recommendation, signature, date
   3. For promotion:
      1. One cumulative evaluation in narrative form of the candidate's teaching, research, service, and any other relevant duties, prepared by the unit Promotion Committee. A draft of this cumulative evaluation, to be completed after the candidate turns in the PAD, should be available for discussion by the entire Promotion committee before the vote.
      2. A cumulative evaluation in narrative form of the candidate’s teaching, research, service, and any other relevant duties, prepared by the unit administrator.
      3. Unit Promotion Committee’s recommendation, signature of the chair of the unit Promotion Committee, and date
      4. Unit administrator’s recommendation, signature, and date
      5. Dean's recommendation, signature, and date
      6. Provost's recommendation, signature, date
3. Records of Evaluation
   1. For evaluation for reappointment decisions:
      1. Listing of the criteria for reappointment set forth by the code unit of the faculty member.
      2. Records of all written communications with the candidate on progress toward tenure, including all annual evaluations over the period of time appropriate to the decision.
      3. Records of the annual discussions on the criteria for evaluating faculty performance, on workplan, on annual evaluation, and on success plan, if any, meetings with the unit administrator. See Part VIII.I.III of the East Carolina University Faculty Manual.
      4. Records of the assigned teaching duties and responsibilities including indication of reassigned time, workplans and success plans, if any over the period of time appropriate to the decision. See Part VI.I.I and Part VIII.I.II of the East Carolina University Faculty Manual.
   2. For evaluation for tenure decisions:
      1. Listing of criteria for tenure set forth by the code unit of the faculty member.
      2. Records of all written communications with the candidate on progress toward tenure, including all workplans, annual evaluations, and success plans, if any over the period of time appropriate to the decision.
      3. Records of the annual discussions on criteria for evaluating faculty performance, workplans, annual evaluation, and success plan, if any, meetings with the unit administrator. See Part VIII.I.III of the East Carolina University Faculty Manual.
      4. Records of the assigned workload over the period of time appropriate to the decision. See Part VI.I.I and Part VIII.I.II of the East Carolina University Faculty Manual.
      5. Records of all communication with external reviewers, copies of the external reviews, and a listing of the documents reviewed.
   3. For evaluation for promotion decisions:
      1. Listing of the criteria for promotion set forth by the code unit of the faculty member.
      2. Records of all workplans, annual evaluations, and success plans, if any, over the period of time appropriate to the decision. If last promotion took place more than 7 years ago, only the last 7 years should be included. See Part VI of the East Carolina University Faculty Manual.
      3. Records of the assigned teaching duties and responsibilities including indication of reassigned time, workplans, and success plans if any over the period of time appropriate to the decision. If the last promotion took place more than 7 years ago, only the last 7 years should be included.
      4. Records of all communication with external reviewers, copies of the external reviews, and a listing of the documents reviewed.

In cases of application for tenure with simultaneous promotion, items B and C should be combined as appropriate.

4. Supporting materials
   The faculty member, in consultation with the unit administrator and the chair of the unit personnel committee, shall add materials in support of the activities and accomplishments listed in the East Carolina University Cumulative Report for Reappointment, Promotion and Tenure.
5. Other material
   Materials not included in the categories listed in the cumulative report may be added to the dossier by the faculty member providing the unit administrator, in consultation with the Unit Personnel Committee, has an opportunity to include a response to such materials. In the event the unit administrator and Unit Personnel Committee cannot agree on a response, both may include a response.
6. Disagreements as to inclusion or removal of documents
   The dossier shall include the required documents and lists relevant to the faculty member's teaching, research/creative activity, and service as described above. If the faculty member disagrees with the unit administrator and/or the unit personnel committee as to the inclusion of relevant documents, the documents will be included and each party may include a statement about the document in the dossier.
   
   The candidate is allowed to review and include a response to the cumulative evaluations (see Part X.I.II.A of the East Carolina University Faculty Manual).

B. Cumulative Report for Reappointment, Promotion, and Tenure

Link to Guidelines for Preparing a Cumulative Evaluation

A properly executed East Carolina University Cumulative Report for Reappointment, Promotion and Tenure (docx) is required for these personnel actions. It is the responsibility of the faculty member to have prima facie evidence of all activity listed in this report available for inspection, if requested, by reviewers at any level of the personnel action process.

A. General Information

1. Name
2. College or Professional School and Department
3. Date of first appointment to ECU
4. Present rank and date at which present rank was established
5. Educational background: degrees, dates conferred, and institutions. Indicate the status of any degree program in process.
   Include the following where applicable:
   a. Postgraduate Training Fellowships
   b. Residencies
   c. Traineeships
6. Administrative appointments or special assignments (list positions and dates in reverse chronological order with percentage of time assigned)
7. Professional credentials (certifications and licensures)
8. Professional employment history (list positions, ranks and dates of
   appointments in reverse chronological order)
9. Formal continuing education for professional development (courses,
   seminars, institutes, etc. and dates in reverse chronological order) School of
   Medicine (clinical staff): List all postgraduate Continuing Medical Education
   completed in the last 3 years (in reverse chronological order).

B. Teaching (Didactic and Clinical) and Advising [narrative or bulleted list and relevant date(s)]

1. A brief Self-Assessment of Teaching effectiveness
2. Teaching experience
   1. Chronological list of all courses taught including year, semester, section, and enrollments.
   2. Chronological list of all peer reviews including year, semester, and reviewer name.
3. Noteworthy accomplishments and practices in teaching
4. Noteworthy accomplishments and practices in advising and retention
5. Extraordinary duties assigned or elected in advising
6. Direction of student research and performances:
   a. List undergraduate students and projects.
   b. List graduate students and projects.
   c. List memberships in graduate student’s thesis/dissertation committees
7. Grants (listed by year in reverse chronological order) in support of teaching and advising. Provide a list of all grants applied for, listing for each the source, amount requested, title, and co-investigators. Designate status: awarded (including amount awarded if different from request), pending, rejected.
   a. Grants/proposals through Office of Sponsored Programs
   b. Grants/proposals through the Division of Institutional Advancement
   c. University Grants
   d. Reports to granting agencies: list agency(ies)
8. Medical Education:
   a. Undergraduate medical student teaching, including didactic lectures, clinical teaching,
   conferences, laboratories, student advising, and student preceptorships.
   b. Postgraduate medical teaching including clinical teaching and continuing medical
   education.
   c. Curriculum development in medical education.
   Note: Evidence of Teaching Effectiveness shall be included in Section D, Supporting Materials, to include:
   1. (Required) Reports from university approved student evaluations. Data should not be condensed or summarized, but included as it appears in the original survey reports. Student comments may be included at the discretion of the candidate but are not required. If student comments for a class are included, all comments from the original survey report for that class must be included.
   2. (Required) Reports from all peer reviews of instruction.
   3. (Optional) Instructional materials or other evidence of pedagogical innovation or impact (see East Carolina University Faculty Manual, Part VIII.I.III).

C. Research/Creative Activity:

1. A brief statement of research activities and interests.
2. A complete list of publications in print, in reverse chronological order,
   beginning with the most recent publications (Note: School of Medicine
   should use the AMA format for publications):
   a. Books and monographs
   b. Journal articles
   c. Chapters in books
   d. Book reviews in professional journals
   e. Abstracts (including those published in proceedings)
   f. Microforms
   g. Sound/video recordings, musical scores
   h. Art exhibitions, pictures in books, applied art
   i. Articles in proceedings
   j. Intellectual property protections (such as patents)
   k. Editorships of professional journals or books
   l. Musical performances & productions
   m. Theatrical performances & productions
   n. Software development
   o. Electronic publications
   p. Clinical trials
   q. Other (e.g., entries in encyclopedias)
3. Papers, creative works, etc. accepted for publication but not yet in print
   (attach a copy of letter of acceptance)
4. Other research publications: list title(s) and publication dates and publisher
5. Research presentations and posters: list organization, date, and title of
   presentation(s)
6. Participation in expert panels (include topics, meeting, date(s).
7. Visiting professorships or lectureships (include titles, place, date(s).
8. Pedagogical materials: list title(s) and publication dates and publisher
9. Grants (listed by year in reverse chronological order) in support of
   research/creative activity. Provide a list of all grants applied for, listing
   for each the source, amount requested, title, Principal investigator and co-
   investigators. Designate status: awarded (including amount awarded if
   different from request), pending, rejected.
   a. Grants/proposals through Office of Sponsored Programs
   b. Grants/proposals through the Division of Institutional Advancement
   c. University Grants
   d. Reports to granting agencies: list agency(ies)

D. Clinical Practice: For those faculty who provide patient care as a part of their duties, a patient care portfolio should be included to document their clinical practice activities. The patient care portfolio should include the following information:

1. Summary of relevant activities in clinical practice and evaluations of patient
   care quality.
2. Extraordinary duties assigned or elected in clinical practice
3. Development and/or evaluation of clinical services and programs
4. Community service and outreach

E. Professional and University Service (list by year, in reverse chronological order)

1. University: Committee and special assignments
   1. Unit: name of committee(s), role on committee(s) (member, chair, etc.),
      inclusive dates of service
   2. Division: name of committee(s), role on committee(s) (member, chair, etc.), inclusive dates of service
   3. University-wide: name of committee(s), role on committee(s), inclusive dates of service
   4. UNC system: name of committee(s), role on committee(s), inclusive dates of service
   5. Special assignments: title or role, brief description of assignment, inclusive dates of service
2. Non-university committees and service:
   1. Local
   2. Regional
   3. State
   4. Other
   5. Clinical Agency Committees and/or Hospital committees, if applicable
3. Professional Organizations (list by year in reverse chronological order)
   1. Memberships in professional organizations: list memberships
   2. Offices held or other official functions
      President/Chair: list organization(s)
      Other office(s): list office and organization(s)
   3. Organization of meetings, workshops, and symposia: list organization(s)
   4. Presentations (other than research) at meetings, workshops, and
      symposia: list organization, date, and title of presentation(s)
   5. Service as editor or editorial board member: list board(s), list role(s)
   6. Items reviewed, refereed, or juried for scholarly publications: list
      publication(s)
   7. Items reviewed, refereed, or juried for granting agencies: list agency (ies)
   8. Evaluation of faculty for other universities (peer review): list institution(s)
   9. Consultantships: list client, specify whether paid or unpaid, briefly define
      activity
4. Other professional service
5. Grants (listed by year in reverse chronological order) in support of
   professional service. Provide a list of all grants applied for, listing for each
   the source, amount requested, title, and co-investigators. Designate status:
   awarded (including amount awarded if different from request), pending,
   rejected.
   1. Grants/proposals through Office of Sponsored Programs
   2. Grants/proposals through the Division of Institutional Advancement
   3. University Grants
   4. Reports to granting agencies: list agency(ies)

F. Honors and other noteworthy activity not covered above

G. Administrative Activities

1. Noteworthy accomplishments and practices in administration
2. Extraordinary duties assigned or elected
3. Summary of administrative evaluations

H. Community service: Include organization, dates, offices held.

I. Other: Include additional information deemed pertinent to this cumulative
report.

J. Date this cumulative report was completed.

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Faculty Senate Resolution #07-01, March 2007

Faculty Senate Resolution #08-27, May 2008

Faculty Senate Resolution #24-55, September 2024

Part X, Section II: Schedule for Personnel Actions

CONTENTS

1. Annual Workplan and Annual Evaluation Timeline
2. Subsequent Appointment and Advancement in Title of Fixed-Term Faculty Members Timelines
3. Progress Toward Tenure Letters, Reappointment, Tenure, and Promotion Timelines
4. Post-Tenure Review Timeline

1. Annual Workplan and Annual Evaluation Timeline

The timelines designated in these schedules are the normal review cycles for the stated personnel actions. The Provost (or designee) may approve an adjustment to these timelines when compelling circumstances, as determined by the Provost (or designee), justify a temporary revision.

The Provost Office will conduct review of workplans and annual evaluations during the summer. If edits are suggested by the Provost Office, they will be discussed with appropriate parties at the beginning of the next academic year.

Although not required, it is recommended that the faculty member and the unit administrator check with each other for progress of workplan throughout the academic year.

Units may set internal deadlines, no later than the deadlines specified here.

In the event that a deadline falls on a weekend or university holiday, items shall be due on the next business day.

Workplan and Annual Evaluation Timeline

[table id=9 /]

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2. Subsequent Appointment and Advancement in Title of Fixed-Term Faculty Members Timelines

The timelines designated in these schedules are the normal review cycles for the stated personnel actions. The Chancellor (or designee) may approve an adjustment to these timelines when compelling circumstances, as determined by the Chancellor (or designee), justify a temporary revision.

Subsequent Appointment Timeline - Spring of Decision Year

[table id=7 /]

Advancement in Title Timeline - Fall and Spring of Decision Year

The faculty candidate will be notified of the recommendation or decision, as appropriate, in writing within one week at each decision point.

[table id=10 /]

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3. Progress Toward Tenure, Reappointment, Tenure and Promotion Timelines

The Timelines designated in these schedules are the normal review cycles for the stated personnel actions. The Chancellor (or designee) may approve an adjustment to these timelines when compelling circumstances, as determined by the Chancellor (or designee), justify a temporary revision.

For Promotion and Tenure consideration, the Chancellor (or designee) will adjust the schedule for notifications to faculty candidates when required by unforeseen circumstances, such as a change in the Board of Trustees meeting date normally held in the spring of the academic year.

Progress Towards Tenure (PTT) Letters - Required all years except the year prior to the year in which a faculty member’s mandatory tenure decision is considered

The Provost Office will conduct review of Progress Toward Tenure Letters during the summer. If edits are suggested by Provost Office, they will be discussed with appropriate parties at the beginning of the next academic year.

In the event that a deadline falls on a weekend or university holiday, items shall be due on the next business day.

[table id=6 /]

Reappointment of Probationary-Term Faculty Members Timeline

The faculty candidate will be notified of the recommendation or decision, as appropriate, in writing within one week at each decision point.

[table id=4 /]

Reappointment of Probationary-Term Faculty Members in 2nd Year of Employment With Credit for Prior Academic Service Timeline

The faculty candidate will be notified of the recommendation or decision, as appropriate, in writing within one week at each decision point.

[table id=5 /]

Promotion and Tenure Timeline – Spring before Decision Year

For 12-month Assistant Professor with 1 year of prior academic credit, in the fourth year of appointment, external reviewer list is due to Tenure Committee on the 2nd Tuesday in April; Tenure Committee's final list of external peer reviewers is due to unit administrator on 4th Tuesday in April; unit administrator will send letters and selected materials to reviewers by the 3rd Thursday in May.

[table id=2 /]

Promotion and Tenure Timeline – Fall and Spring of Decision Academic Year

The faculty candidate will be notified of the recommendation or decision, as appropriate, in writing within one week at each decision point.

[table id=3 /]

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4. Post-Tenure Review Timeline

The timelines designated in these schedules are the normal review cycles for the stated personnel actions. The Chancellor (or designee) may approve an adjustment to these timelines when compelling circumstances, as determined by the Chancellor (or designee) justify a temporary revision.

[table id=11 /]

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Faculty Senate Resolution #12-68, April 2012
Faculty Senate Resolution #18-23, April 2018
Faculty Senate Resolution #19-57, May 2019
Faculty Senate Resolution #21-25, April 2021
Faculty Senate Resolution #23-63, January 2024
Faculty Senate Resolution #24-55, September 2024

Part XI, Section I: Employment Policies

CONTENTS

• I. Faculty Absence and Leave
• II. New Faculty Orientation
• III. Phased Retirement
• IV. Retirement
• V. Salary Policies
• VI. Emeritus Faculty Privileges
• VII. Travel and Expense Allowances

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It is a policy of the University throughout the campus and all its branches, divisions, departments, facilities, and activities, that firm and positive steps be taken by all supervisory and management personnel to prevent any discriminatory employment practices; and that affirmative action will be taken to ensure that applicants for employment will be considered and employed based on actual job requirements; and that all personnel matters pertaining to employment, placement, training, upgrading, promotion, demotion, transfer, layoff, termination, and salary administration will be conducted in a nondiscriminatory way without regard to race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status (including relationship or association with a protected veteran; or Active Duty or National Guard service). Refer to the Notice of Nondiscrimination and Affirmative Action Policy.

The general faculty shall consist of all full-time members of the teaching, research, or administrative staff who hold a professorial rank, including those on special faculty appointment. Adjunct members of the faculty do not receive benefits normally associated with full-time employment, nor does such service count toward the attainment of a tenured position. Teaching fellows are not formal members of the University faculty.

I. Faculty Absence and Leave

Faculty members unable to perform their duties are expected to make arrangements to fulfill their responsibilities in advance with their unit administrators. The unit administrator then determines the acceptability of the absence from duty, and if necessary, will coordinate substitute arrangements with the appropriate administrator (dean or vice chancellor). If the absence from duty is associated with travel, faculty must be in compliance with the East Carolina University Travel Policy which states that all employees are responsible for obtaining approvals for all University business trips. In the event of an absence from duty caused by an emergency or illness, a faculty member is advised to inform their supervisor at the employee’s earliest convenience; normally the notification should be within one business day. Faculty members incurring an illness or emergency for more than three consecutive business days will be notified of their potential entitlements under the Family and Medical Leave Act (FMLA). Refer to the Faculty Serious Illness and Parental Leave Policy for additional information on leave and benefits coverage for cases of serious health conditions and/or parental leave.
Faculty members may take a leave of absence for one or more semesters (normally for not more than two academic years or more often than once in three years) or an appropriate period of time for the faculty in the Brody School of Medicine. The leave can be with salary or without salary, depending on the type of leave and the advance approval for the leave of absence.

Faculty members may retain voting privileges while they are on leave of absence and may attend specified committee meetings, such as personnel, promotion, and tenure committee meetings. Voting privileges are specified in the unit codes (see the East Carolina University Faculty Manual Part IV.II.III Faculty Who May Vote on a Unit's Code of Operation) and in the East Carolina University Faculty Manual Part IX.I.IV Procedures for Initiation, Review, and Approval of Personnel Actions. Leaves of absence for probationary-term faculty members may, under cases of severe personal exigency or other compelling personal circumstances, include extension of the length of the probationary term. The conditions for, and approval process of, extensions of the probationary term can be found in the East Carolina University Faculty Manual Part IX.I.II Faculty Appointments. Continuation of benefits for faculty members on leave is covered by University and state regulations.

Prior to taking leave, faculty members are encouraged to speak with a Human Resources Benefits Consultant to determine benefit continuation options. Additional information is available at the ECU Human Resources website.
Leaves of absence include, but are not limited to the following:

1. Professional Leave (Unpaid)
   Leave is granted to give permanently tenured and probationary-term faculty members opportunities for research, advanced study, and/or professional growth. For both permanently tenured and probationary-term faculty members, this type of leave allows faculty members to accept competitive awards for research or advanced study opportunities. Faculty members requesting a professional leave of absence should include the reason(s) for the request and the dates the faculty member is requesting leave. The unit administrator will forward the request to the unit Personnel Committee, who will make a recommendation to the unit administrator. The unit administrator will make a recommendation and will forward both recommendations to their immediate supervisor. This procedure shall be repeated at each administrative level until the recommendation reaches the appropriate vice chancellor. After reviewing the recommendations, the vice chancellor will render a decision and will notify in writing the faculty member, the unit administrator, and the administrator's immediate supervisor.
2. Faculty Scholarly Reassignment
   Leave is granted for a faculty member to pursue a full-time project involving research or creative (scholarly) activity. Details, including eligibility, terms, and conditions can be found in the ECU Policy Manual Faculty Scholarly Reassignment policy.
3. Personal leave
   In accordance with ECU’s Faculty Serious Illness and Parental Leave Policy, a faculty member may request personal leave for purposes such as serious illness or parental leave as defined by the Family and Medical Leave Act (FMLA). See the ECU Human Resources website for more information.
4. Public service leave
   A faculty member may request a public service leave of absence to run for political office, serve in appointed or elected public office, or serve in an appointed professional office. See “Political Activities of Employees” of the UNC Policy Manual Chapter 300.5.1 for more information about this type of leave.
5. Community Service Leave
   Leave is granted under certain circumstance for 12-month faculty volunteers to support schools, communities, citizens, and non-profit charitable corporations. See the Leave Policy for Twelve-Month Faculty and the UNC Policy Manual Faculty Community Service Leave Policy Chapter 300.2.10 for more information about this type of leave.
6. Military Service Leave.
   Leave is granted to fulfill a military obligation, such as a call to active duty for a reservist. See the UNC Policy Manual Faculty Military Leave Policy Chapter 300.2.8 for more information.

II. New Faculty Orientation

New faculty are expected to attend the ECU New Faculty Orientation Program. The program offers a variety of resources, including information about benefits, parking, technology, research, and tenure. Helpful information can be found on the New Faculty site. Additional faculty orientation activities may be required by academic units. As part of the orientation process, new faculty members are informed about the University system of shared governance and invited to serve in shared governance of the University. Orientation of new faculty is continued throughout the year by key administrators and faculty leaders to assist the faculty in becoming acquainted with the practices and procedures of the University. Ongoing programs, including information on mentoring, are available through the Office for Faculty Excellence. New faculty hire letters note a begin date one week prior to the annual convocation with the expectation that all new faculty will attend the New Faculty Orientation Program.

New faculty are encouraged to attend the annual Faculty Convocation, which is scheduled at the opening of each academic year, for the purpose of becoming acquainted with the Chancellor, Chair of the Faculty, key administrative personnel and their responsibilities, and with the relationship between faculty and administration.

III. Phased Retirement

Participation in East Carolina University’s Phased Retirement Program is available to tenured faculty who meet University of North Carolina Phased Retirement Program eligibility criteria. Application forms can be found in the faculty member’s respective Division Human Resources office or on the Department for People Operations, Success, and Opportunity's Retirement website.

IV. Retirement

All full-time faculty of the University with a permanent appointment must participate in the University’s retirement program. Information regarding the retirement plans can be found at the links below:

• Overview of retirement plan options
• Statutory provisions for the State Retirement system
• NC State Treasurer’s Retirement home page

Privileges for Retired Faculty

The following University websites provide information about privileges awarded to retired faculty.

1. ECU Retired Faculty Association The ECU Retired Faculty Association provides retired faculty with a continuing link to the University and to colleagues and friends through social activities, receptions, and group travel. The website also provides information about the opportunity to give back to the University through an endowment fund.
2. Retired Faculty Parking Permits Retired faculty are eligible to apply for a free, retired faculty permit to park in designated ‘Retired Faculty’ (RF) spaces on campus upon submitting an application to the ECU Parking and Transportation office. Upon receipt of the application, the Parking and Transportation Office staff will contact Human Resources to confirm the faculty member’s retired status. Phased retirement faculty participants for whom status has been confirmed by Human Resources have the option to upgrade the free retired faculty permit to an A permit for half the price of an A permit if the permit they held at the time they retired was an A permit. Individual faculty may request an application form by directly contacting the Parking and Transportation Office.
3. ECU 1 Card The ECU 1 Card is the official University photo ID card. Some privileges for retired faculty require presenting an ECU 1 Card (Retiree Version). Procedures for obtaining an ECU 1 Card for retirees can be found on the ECU 1 Card website.
4. E-mail Retired faculty may continue to use their ECU e-mail account in accordance with University guidelines. Details can be found at the ITCS website.
5. Student Recreation Center Membership Retired faculty may purchase annual, semester, or summer memberships to the Student Recreation Center. They must present their ECU 1 Card when purchasing a membership. Refer to the Campus Recreation and Wellness website for more information:
6. Joyner Library Access Retired faculty may apply for borrowing privileges at the Joyner Library Circulation desk. They must present their ECU 1 Card to obtain services. Further information may be obtained at the Joyner Library website.
7. Laupus Library access Retired faculty may apply for borrowing privileges at the Laupus Library Circulation desk. They
   must present their ECU 1 Card to obtain services. Further information may be obtained at the Laupus Library Circulation Policies website.
8. Web Service
   Retired faculty with existing websites may continue to have access to University-hosted web pages to allow retired faculty to continue their scholarly activities. Details can be found at the ITCS website.

V. Salary Policies

Faculty annual salaries are paid semimonthly. New faculty receive the first payment on the first available payroll date as stated in the individual’s appointment letter. When the 15th or last day of a month falls on a non-workday for the business office, distribution of payment will be made on the last workday prior to that day. Arrangements must be made with the payroll office to have all payments deposited in a faculty member’s bank account. Salaries for summer teaching are paid in accordance with the faculty member’s appointment letter. Nine-month faculty salaries are paid in 24 installments from September 15 to August 31. Any change in appointment that affects this will be included in the individual’s appointment letter.

Federal and state income tax withholdings are based on information furnished to the payroll office on the United States Treasury Department Form W-4 and North Carolina Department of Revenue Form NC-4, respectively.

New faculty and non-immigrant visa holders must complete an I-9 form and updated forms when required by Federal law. Criminal background checks will also be conducted on all new faculty per the applicable policy statement.

For a more detailed description on Salary Policies (such as overloads, summer overloads, research/creative activity, less than full time employees, etc.) please refer to the
ECU Policy Manual, Human Resources, and Financial Services (Payroll Office).

For a full-time member of the faculty or EHRA professional staff, the salary approved by the Board of Governors is the full compensation to be expected during the period of employment. No additional payments may be made for University duties that are generally related to the position to which the individual is appointed. The period of appointment includes all formal holidays and interludes during which no classes are scheduled.

Regardless of the salary source, total compensation paid during the period of appointment cannot exceed the salary amount authorized in the current appointment letter, except for extraordinary situations that must be approved in advance by the supervisor, department chair or school director, dean or director, and vice chancellor.

Less Than Full-time Employees

Upon appropriate approvals, individuals with appointments of less than 1.0 FTE during an academic year or fiscal year can increase their commitment up to 1.0 FTE with additional compensation. However, in no event may the effort of an individual exceed full-time commitment unless specifically approved by their unit administrator in advance; additional compensation must be proportional to the base salary rate and not exceed full-time equivalency unless specifically approved in advance.

Research/Creative Activity

It is expected that such other proposed duties or tasks may require reduction in other planned responsibilities of the faculty or professional staff member. For example, arrangements may be made for reassigned time or research contract “buyouts” if nine-month faculty members are to conduct sponsored program activities during the regular academic year. Sponsored program activity does not normally constitute extraordinary or exceptional projects for consideration for supplemental payment.

Overloads

Under extraordinary circumstances, overloads may be approved for faculty to teach additional for- credit courses. This is only allowable if this does not cause a conflict of commitment with other assigned duties, and the faculty member has an appropriate workload prior to consideration of the overload.

Summer Overloads

No overloads will be permitted during summer school sessions except in extraordinary circumstances and with prior approval by the unit administrator. Compensation from any and all salary sources for summer employment may be arranged not to exceed three-ninths of the previous year’s nine-month annual salary base rate. The pay rate from summer school funds and distance education summer school courses will be based on a percentage of the nine-month rate up to a published annual maximum per session. The specific rates may be obtained through the Office of the Provost.

Work for ECU Outside the Home Unit

Prior approval to teach or perform other duties outside the faculty member’s home unit is required from all involved administrative levels.

Salary Conversion Rate for Faculty

Information regarding salary conversion rates for faculty is detailed in individual appointment letters or the applicable policy is referenced in individual appointment letters.

External Activities for Pay

The policy covering faculty and professional staff income derived from external activities for pay can be found in the ECU Policy Manual Regulation on Conflicts of Interest, Commitment, and External Professional Activities for Pay. Individuals are expected to comply with this policy.

VI. Emeritus Faculty Privileges

Upon the recommendation of the unit personnel committee, unit head, appropriate dean, and appropriate vice chancellor, in accordance with criteria defined in the unit code, the chancellor may grant the faculty retiree emeritus status (as defined in Personnel Policies and Procedures for the Faculty, East Carolina University Faculty Manual, Part VIII.I) which includes listing in Undergraduate and Graduate Catalogs and continued eligibility to march in University commencement exercises and other formal processions as active faculty, wearing appropriate regalia.

VII. Travel and Expense Allowances

1. Paid Travel
   All business-related travel must have written authorization prior to travel. Approval within the online travel system satisfies this requirement. Business related travel may be covered by the University using department funds or through grant funds or other sources. All reimbursement requests shall be filed for approval and payment made within thirty days, whenever possible, after the end of the travel period for which reimbursement is being requested.
   
   For more information on travel approval and reimbursements, refer to the ECU Policy Manual Travel Approval and Reimbursement website and the Financial Services Travel Office.
2. Unpaid Travel
   If a faculty member is traveling for business reasons, but is not going to be reimbursed for travel expenses, the pre-approved travel authorization forms must still be completed. This process is necessary for authorization of workers’ compensation should an accident occur during the travel period.

Part XI, Section II: Benefits and Leave

CONTENTS

• I. Benefits
• II. Workers’ Compensation
• III. Disability Insurance
• IV. Vacation and Sick Leave
• V. Faculty Serious Illness and Parental Leave Policy

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I. Benefits

A variety of benefits are available to permanent employees of ECU, based on specific eligibility criteria. All benefits are subject to state regulations, University policies and procedures, and individual plan documents. Employee benefits are subject to change and reasonable notice is provided to employees by Human Resources when changes occur. Information about benefits may be obtained from the ECU Human Resources Office. See the University Policy Manual for more information.

II. Workers’ Compensation

All University employees, including paid student workers, are covered by workers' compensation that provides certain benefits in the event there is an on-the-job injury or illness. If and when an on-the-job injury or illness should occur, it should be reported immediately to the supervisor who will notify the appropriate University offices. For additional information about workers’ compensation and related forms see the University Policy Manual, Human Resources website, and the Office of Environmental Health and Safety website.

III. Disability Insurance

ECU has disability insurance coverage for both short-term (2 to 12 months with the possibility of a 12- month extension) and long-term (greater than 12 months) situations. The specific details of the disability insurance options can be found on the Human Resources website.

Questions regarding disability coverage should be directed to a Human Resources Benefits Consultant.

IV. Vacation and Sick Leave

Faculty with twelve-month employment contracts may be granted vacation and sick leave as described in the ECU Policy Manual Leave Policy for Twelve-Month Faculty. Teaching faculty with nine-month employment contracts do not earn vacation or sick leave.

V. Faculty Serious Illness and Parental Leave Policy

This policy provides leave with pay for eligible faculty for cases of serious health conditions or parental leave as defined by the Family and Medical Leave Act. Refer to the Faculty Serious Illness and Parental Leave Policy for more information.

Part XI, Section III: Institutional Services Available to Faculty

CONTENTS

• I. Information and Computer Services
• II. Grants, Contract, and Cooperative Agreements
• III. Tuition Privileges for Faculty

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I. Information and Computer Services

Information Technology and Computing Services (ITCS) supports employees through the integration of information, technology, and instruction.
(FS Resolution #10-16, February 2010)

II. Grants, Contracts, and Cooperative Agreements

ECU’s Office of Sponsored Programs (OSP) has responsibility for pre-award activities involved in the preparation and submission of proposals on behalf of ECU to external sponsors for support of projects in research, creative activity, training, and public service. OSP must review and approve all proposals for grants, contracts, and cooperative agreements prepared by faculty for submission to outside funding sources before submission to external sponsors.

The Office of Grants and Contracts (OGC) is the University Office responsible for post-award activities related to projects that have been awarded by external sponsors to ECU faculty that support projects/programs in research, creative activity, training, and public service/clinical care. OGC is responsible for ensuring that expenditures are in accordance with sponsor and institutional guidelines. OGC also assists investigators in preparing information for sponsor required financial reporting. (FS Resolution #12-07, February 2012)

III. Tuition Privileges for Faculty

In accordance with North Carolina General Statute, East Carolina University faculty are eligible to take classes at a reduced cost. See the Educational Assistance page on the Department for People Operations, Success, and Opportunity site for more information.
(FS Resolution #10-95, December 2010)

Part XI, Section IV: Equal Employment Opportunity

I. General Provisions

East Carolina University prohibits unlawful discrimination based on the following protected classes: race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status (including relationship or association with a protected veteran; or Active Duty or National Guard service) (“Protected Class”).

East Carolina University celebrates diversity among its faculty, staff, and students, and is committed to fostering respect for human difference and equal opportunities for all. To that end, the Equal Opportunity and Title IX Office within the Department for People Operations, Success, and Opportunity (POSO) develops and implements equal employment opportunity policies. Information about the Equal Opportunity and Title IX Office’s programs and policies, the University’s protected classes and related non-discrimination policies and procedures may be found by visiting POSO's web site.

II. Professional Development

To foster a supportive environment where all members of the ECU community thrive, all faculty members are encouraged to engage in professional development each academic year related to teaching, scholarship, and service in the faculty member’s academic field that promotes the university mission (student success, regional transformation, or public service).

The University shall provide appropriate equipment, software, and communications access to faculty necessary to provide effective professional development. The University will ensure the availability of continuing faculty education and training-related resources to enhance faculty intercultural competence.

Part XI, Section V: Substance Abuse and Weapons Policies

CONTENTS

• I. Substance Abuse Policy
• II. Weapons Policy

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I. Substance Abuse Policy

The highest standards of personal and professional conduct must be maintained by faculty, staff, and students. Illegal or abusive use of drugs or alcohol, referred to in this policy as substance abuse, by members of the university community adversely affects the mission of the university and is prohibited. A substance abuse policy adopted by the East Carolina University Board of Trustees, consistent with the UNC Board of Governors' Policy on Illegal Drugs (1300.1), is intended to: prevent substance abuse through a strong educational effort; encourage and facilitate the use of counseling services and rehabilitation programs by those members of the university community who require their assistance in stopping illegal or abusive use of drugs or alcohol; and discipline appropriately those members of the university community who engage in illegal drug or alcohol related behaviors.

(FS Resolution #10-97, December 2010)

II. Weapons Policy

The University Weapons policy is contained in the University Regulation Concerning Weapons on Campus. Any faculty member who violates this policy may be subject to serious sanctions imposed by the university in accordance with due process as outlined in the university’s tenure and promotion policies and procedures, as well as punishment in accordance with state criminal law. For further details and certain exceptions, see North Carolina General Statute § 14-269.2 located online at: https://www.ncleg.gov/ or the University Regulation Concerning Weapons on Campus. (FS Resolution #11-20, February 2011 and FS Resolution #14-46, May 2014)

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Faculty Senate Resolution #03-37, September 2003
Faculty Senate Resolution #10-16, February 2010
Faculty Senate Resolution #10-86, November 2010
Faculty Senate Resolution #10-95, December 2010
Faculty Senate Resolution #10-97, December 2010
Faculty Senate Resolution #11-19, February 2011
Faculty Senate Resolution #11-20, February 2011
Faculty Senate Resolution #11-46, March 2011
Faculty Senate Resolution #11-60, April 2011
Faculty Senate Resolution #11-61, April 2011
Faculty Senate Resolution #11-80, October 2011
Faculty Senate Resolution #12-07, February 2012
Faculty Senate Resolution #12-70, April 2012
Faculty Senate Resolution #13-33, March 2013
Faculty Senate Resolution #13-97, December 2013
Faculty Senate Resolution #14-46, May 2014
Faculty Senate Resolution #20-61, March 2021
Faculty Senate Resolution #21-26, April 2021
Faculty Senate Resolution #23-64, January 2024
Faculty Senate Resolution #25-14, March 2025

Part XII, Section I: General Appellate Procedures and Reviews of Non-Reappointment, Non-Conferral of Tenure at the End of the Probationary Period, Discharge or Imposition of Serious Sanctions, and Termination Based on Institutional Considerations

Contents

1. General Provisions on Faculty Appeals
2. Review of Non-Reappointment or Non-Conferral of Tenure at the Completion of a Probationary Term
3. Due Process Before Discharge or the Imposition of Serious Sanctions
4. Appeals of Termination of Faculty Employment Based upon Institutional Considerations

SECTION I.I, General Provisions on Faculty Appeals

CONTENTS

1. Constituting an Appeal Panel
2. Descriptions of Grievants and Respondents
3. Annual Reports
4. Jurisdiction of the Board of Governors

I. Constituting an Appeal Panel

1. The Faculty Appellate Committee, established through the Bylaws (Faculty Manual, Part II, Section II) of the ECU Faculty Senate, shall serve as a pool for populating appeals panels for the four appellate processes covered by provisions of Part XII of this Faculty Manual. These are:
   1. Hearing Panel (Section I.II),
   2. Due Process Panel (Section I.III),
   3. Reconsideration Panel (Section I.IV)
   4. Grievance Panel (Section II.I)
      
      Because hearings in matters of non-reappointment or conferral of permanent tenure can present complex and difficult questions of fact, policy, and law, and because of the central role of the panel in gathering and preserving the evidence upon which most subsequent decisions related to the matter will be based, it is important for the chancellor to ensure that Faculty Appellate Committee members, as well as relevant administrators and aggrieved faculty members, are appropriately trained in accordance with guidelines and procedures jointly established by the faculty officers and chancellor.
2. At its initial organizational meeting each year, the Faculty Appellate Committee will elect a steering committee of four individuals, each responsible for taking the lead in processing requests for hearings before one of the four respective types of appellate panels. These individuals will be designated as the “appellate chair” for grievances in their respective areas. Once constituted, the steering committee will elect a Chair and Secretary.
3. To determine panelists for appellate hearings, at the beginning of each academic year, the steering committee will develop a rank order for all members of the Faculty Appellate Committee by random lottery. Individuals will be asked to serve on panels in order of lottery rank, except when disqualified because of a conflict of interest or skipped over based on inappropriate rank for the
   process in question. Conflicts of interest include, but are not limited to, those cases in which Appellate Committee members are from either the grievant’s or respondent’s relevant department, unit, college, or school, or with whom either the grievant or respondent has had an amorous relationship, or is related by blood, law, or marriage (as defined in UNC Policy Manual 300.4.2 and 300.4.2.1[G]). Individuals will not be asked to serve on a second panel until all eligible Appellate Committee members have already served, unless otherwise ruled out by conflicts of interest, at which time the steering committee will return to the top of the ranked list and proceed through the Appellate Committee membership again in the same order.
4. A request for an appeal panel is directed to the chair of the Appellate Steering Committee. The steering committee will determine the appropriate appellate process to be followed and the steering committee member responsible for that process (appellate chair for that area) will take the lead in further actions on that appeal request. The specified appellate chair will assemble a panel of five regular members and one alternate based on the rank order of Appellate Committee members. Once established, the panel will elect a chair and secretary, and follow the appropriate provisions, detailed below, for the specific type of appeal filed.
5. Notwithstanding anything in this document, the chancellor may extend any deadline for a reasonable amount of time in the best interests of the university. The chancellor will promptly inform grievants, respondent(s), the panel, the Chair of the Faculty and the vice chancellor with supervisory authority of the timing and basis of a deadline extension.

II. Descriptions of Grievants and Respondent(s)

1. A grievant is any faculty member or members who seek(s) the remedies afforded by the provisions of Part XII of the Faculty Manual. Grievants must be current faculty members of East Carolina University. If a faculty member’s employment ends voluntarily during the grievance process, prior to the end of employment the grievant may request the chancellor to allow the grievance to continue. Copies of such a request must be provided to the appellate chair. The chancellor should respond to such a request, with a copy to the appellate chair, within 30 calendar days.
2. A respondent is the person or persons identified by a grievant as the individual(s) whose action is the object of the grievance and may include the person(s) who requested the action that is the object of the grievance. “Respondent” may be used in the singular form, even where it stands for more than one person. Named respondents must be current employees of East Carolina University. If a named respondent is a former administrator and, therefore no longer in a position to provide a remedy regarding grieved issues, the person who presently occupies the administrative position will be considered as a substitute respondent for that purpose. If still an ECU employee, the former administrator may remain as a respondent or be called as a witness as determined by the Panel. An individual or a departmental/unit committee and/or its chairperson may be named as a respondent.

III. Annual Reports

Annually, the Appellate Committee will write a report specifying the number of each type of appeal, the outcomes, and the duration of the process, as well as any other concerns that occur to the committee. The report will be submitted to the Faculty Governance Committee for review.

IV. Jurisdiction of the Board of Governors

It is the Board of Governors expectation that campus matters will be addressed appropriately at the constituent institution. Therefore, the board will not hear appeals of decisions that have been addressed through the appellate provisions of the ECU Faculty Manual. Under extraordinary
circumstances, as solely determined by the Board of Governors, the Board may exercise its discretion to review any matter that has not first been brought to the attention of the designated institutional administrator, chancellor, or president for appropriate review and handling. The Board of Governors may in its sole discretion conduct hearings, whether before the full board or a designated standing or special committee of the board. Such hearings shall be limited to matters as the Board of Governors deems appropriate. All appeals addressed to or requests for hearings by the Board of Governors, from whatever source, shall be transmitted through the president.

SECTION I.II, Review of Non-Reappointment or Non-Conferral of Tenure at the Completion of a Probationary Term.

CONTENTS

1. Deadlines for Review
2. Request for a Hearing Panel
3. Procedures for the Hearing
4. Procedures After the Hearing

I. Deadlines for Review

Failure to submit the review documents specified in this section within the time periods allotted constitutes a waiver of the right to have the decision reviewed by ECU faculty committees, institutional authorities, or the UNC Board of Governors; however, before the expiration of the deadline the faculty member may request an extension, provided that the request is made in writing and presented to the appellate chair for grievances covered by Part XII, Section I.II. The Appellate Steering Committee shall decide on an extension within 10 calendar days of receiving a request. The committee will endeavor to complete the review within the time limits specified except under unusual circumstances such as when the time period includes official university breaks and holidays and when, despite reasonable efforts, the steering committee cannot be assembled.

II. Request for a Hearing Panel

Within 25 calendar days of receiving written notice from the vice chancellor of non-reappointment or non-conferral of permanent tenure, a faculty member (hereafter, the complainant) may request a review of the decision before a Hearing Panel.

1. The Hearing Panel
   The Hearing Panel (hereafter, “the panel”) shall be composed of five members and one alternate each of whom is a full-time, permanently tenured voting faculty member without administrative appointment (as per Part IX, Section IV). The alternate shall attend all sessions of the hearing and replace a regular member should that member be unable to attend the entire hearing. Members shall be chosen in accordance with the procedures for election of the Appellate Committee specified in the Bylaws of the East Carolina University Faculty Senate and provisions for appointment of appellate panels specified in Part XII, Section I.I. Upon organization, the members of the Hearing Panel shall elect a chair and secretary. Should either officer be absent at the beginning of a hearing, the panel members shall elect an alternate for the purposes of the hearing. A quorum for the panel shall be the five members or four members and the alternate.
   
   When the panel is convened to consider any matter associated with a complainant's request for a hearing, those Appellate Committee members who (i) hold an appointment in the complainant's academic unit, (ii) might reasonably expect to be called as witnesses, (iii) might reasonably expect to be asked to serve as an advisor (see subsection III.2, Conduct of the Hearing) to any party of the hearing, or (iv) may have any other conflict of interest should be disqualified from participation on a panel related to the specific request for a hearing. The complainant and those individuals or groups who are alleged to be responsible for the action or actions described by the complainant in the request for the hearing [hereafter, the respondent(s)] are permitted to challenge panel members for just cause. The other members of the panel, in consultation with the Appellate Steering Committee, will decide on any potential disqualifications if a panel member is challenged but wishes to remain.
   
   When membership of the panel falls below the specified five members and one alternate, the appellate chair will select additional members of the Appellate Committee to the panel as specified in Part XII, Section I.I of the Faculty Manual.
   
   The panel may at any time consult with an attorney in the office of the University Attorney. The consulting attorney should not have present or prior substantive involvement in the matter that gave rise to the hearing, nor advise the University administrator(s) substantively regarding the panel’s recommendation(s) during the review process.
2. Initiation of the Hearing Process
   The basis for a request for a hearing must be found in one or more of the following reasons: (a) the decision was based on any ground stated to be impermissible in Chapter 100.1, Section 604B of The Code of The University of North Carolina; (b) the decision was attended by a material procedural irregularity such that doubt is cast on the integrity of the decision not to reappoint. In addition, the University Equal Employment Opportunity policy prohibits employment discrimination based on sexual orientation.
   
   Chapter 100.1, Section 604B of The Code of The University of North Carolina states: “In no event shall a decision not to reappoint a faculty member be based upon (1) the exercise by the faculty member of rights guaranteed by the First Amendment to the United States Constitution, or by Article I of the North Carolina Constitution, or (2) the faculty member’s race, color, sex, religion, creed, national origin, age, disability, veteran’s status, or other forms of discrimination prohibited under policies adopted by campus Boards of Trustees; or (c) personal malice. For purposes of this section, the term “personal malice” means dislike, animosity, ill-will, or hatred based on personal characteristics, traits or circumstances of an individual.”
   
   Personnel decisions based on negative reactions to an employee’s anatomical features, marital status or social acquaintances are intrinsically suspect. If reappointment is withheld because of personal characteristics that cannot be shown to impinge on job performance, a wrong likely has been committed. On the other hand, if personal characteristics can be shown to impede a faculty member’s capacity to relate constructively to his or her peers, in a necessarily collegial environment, withholding advancement may be warranted. For example, the undisputed record of evidence might establish that the responsible department chair declined to recommend a probationary faculty member for reappointment with tenure because of the faculty member's ‘unpleasant personality and negative attitude’. Disposition of such a case requires a determination of whether the personality and attitude impeded the faculty member’s job performance. While the terms ‘ill-will’, ‘dislike’, ‘hatred’ and ‘malevolence’ may connote different degrees of antipathy, such distinctions make no difference in applying the fundamental rationale of the prohibition. Any significant degree of negative feeling toward a candidate based on irrelevant personal factors, regardless of the intensity of that feeling, is an improper basis for making decisions.” (UNC Policy Manual Policy 101.3.1 II.B)
   
   "Material procedural irregularity" means a departure from prescribed procedures governing reappointment and conferral of permanent tenure that is of such significance as to cast reasonable doubt upon the integrity of the original decision not to reappoint or not to confer permanent tenure. Whether a procedural irregularity occurred, and whether it is material, shall be determined by reference to those procedures that were in effect when the initial decision not to reappoint or not to confer permanent tenure was made and communicated. The Hearing Panel shall ask the chancellor to certify what procedures were then in effect if that question is a matter of dispute. (Faculty Senate Resolution #03-49)
   
   The complainant's request for a hearing must specifically identify and enumerate all reasons for the request. The request must include the following: a) a description that is as complete as possible of the actions or the failures to act that support each specified contention; b) identification of the respondent(s); c) an enumeration and description of the information or documents that are to be used to support the contention (copies of the described documents are to be made a part of the request for a hearing); d) identification of persons who may be willing to provide information in support of the contention; and e) a brief description of the information those persons identified in (d) may provide, and f) a copy of the vice chancellor’s notice of non-reappointment or non-conferral of permanent tenure. The complainant's request for a hearing shall be made to the appropriate appellate chair and delivered to the Faculty Senate office by a method that provides delivery verification and is consistent with UNC Policy 101.3.3. The Faculty Senate Office will promptly notify the appropriate vice chancellor.

III. Procedures for the Hearing.

1. Time and Date of Hearing
   After the membership of a Hearing Panel is determined by the Appellate Steering Committee, the panel chair shall provide a complete copy of the request for a hearing to the individuals named in the request for a hearing. The panel shall set the time, date, and place for the hearing. The date for the hearing must be within 42 calendar days after receiving the request, except under unusual circumstances such as when a hearing request is received during official university breaks and holidays and despite reasonable efforts a panel cannot be assembled. Once determined, the panel chair shall notify the complainant, the respondent(s), the chair of the faculty, and the chancellor, of the time, date, and place of the hearing. At least 21 calendar days before the hearing, the complainant shall notify the panel, the respondent(s), the chair of the faculty, and the chancellor of the identity of the complainant’s advisor, if any, and whether or not the advisor is an attorney (“attorney” is defined as anyone with a Juris Doctor, or other recognized law degree, regardless of whether or not that person is licensed to practice law in the State of North Carolina and/or whether or not that person is “representing” the employee). Within 14 calendar days before the hearing, the complainant and respondent(s) will submit documents and a list of witnesses to be used in the hearing along with a brief statement of the relevance of each witness.
2. Conduct of the Hearing
   The panel chair is responsible for conducting the hearing and maintaining order. Except as provided for herein, the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. Attendance at the hearing is limited to the panel members and alternate, the complainant, one person who may advise the complainant, the respondent(s), and one person who may advise the respondent(s). If there is more than one respondent, the respondents will designate a spokesperson for the hearing. The persons advising the complainant and respondent(s) may not take an active part in the proceedings. The person advising the respondent(s) at the hearing may be either an East Carolina University faculty member (with or without administrative appointment) approved by the chancellor, or an East Carolina University attorney under the condition that the complainant is accompanied by an attorney. Other persons (witnesses) providing information to the panel shall not be present throughout the hearing, but shall be available at a convenient location to appear before the panel as appropriate.
   
   A professional court reporter must be used to record and transcribe the hearing (Faculty Senate Resolution #03-37). Any such record is a part of the personnel inquiry and must be treated with appropriate confidentiality. Only the immediate parties to the controversy, the responsible administrators and attorneys, and the members of the University governing boards and their respective committees and staff are permitted access to such materials. (Faculty Senate Resolution #03-49)
   
   The hearing shall begin with an opening statement by the panel chair. This statement shall be limited to explaining the purpose of the hearing and the procedures to be followed. The hearing chair explicitly will note that the panel shall consider only information bearing on the allegations presented in the complainant's request for the hearing.
   
   Following the opening remarks by the panel chair, the complainant shall present his or her contentions and any supporting witnesses and documentary evidence. The respondent(s), through their spokesperson, may then reply to these contentions and present any supporting witnesses and evidence. During these presentations, the complainant, and the respondent(s), through their spokesperson, may cross-examine opposing witnesses. For purposes of clarification, panel members may question witnesses, including the complainant and any respondent or spokesperson. At the conclusion of the hearing, the complainant may make a summary statement of up to ten minutes in duration. If the complainant elects to do so, then the respondent(s), through their spokesperson, will be given the same opportunity.

IV. Procedures After the Hearing

After the hearing, the panel shall meet in executive session within 3 calendar days and begin its deliberations on whether to sustain or not sustain the allegations stated in the request for the hearing. In reaching decisions on which the panel’s written recommendations to the chancellor shall be based, the panel shall consider only the evidence presented at the hearing and such written or oral arguments as the committee, in its discretion, may allow. The complainant shall have the burden of proof. The standard applied by the panel shall be that the preponderance of the evidence establishes that a basis for the complainant’s contentions is found in one of the reasons listed in subsection II.2, “Initiation of Hearing.” Preponderance is defined as the greater weight of evidence and its probable truth or accuracy, and not the amount of evidence presented.

Within 14 calendar days of finishing its deliberations the panel shall provide the complainant, respondent(s), and the chancellor with a copy of the panel's report and, a copy of the court reporter's transcript of the hearing (Faculty Senate Resolution #03-37).

If the Hearing Panel determines that the complainant's contention has not been established, it shall, by simple, unelaborated statement, so notify the complainant, the respondent(s), the chair of the faculty, and the chancellor. Such a determination confirms the decision not to reappoint or not to confer permanent tenure.

If the Hearing Panel determines that the complainant's contention has been satisfactorily established, it shall notify the complainant, the respondent(s), the chair of the faculty, and the chancellor by written notice and shall recommend further substantive review.

Within 42 calendar days after receiving the recommendation of the Hearing Panel and the transcript, the chancellor shall notify the complainant, the respondent(s), the chair of the faculty, and Hearing Panel chair what further substantive review, if any, will be made of the original decision not to reappoint or not to confer permanent tenure. If the chancellor is considering taking action inconsistent with the panel’s recommendations, the chancellor shall request within 14 calendar days that a joint meeting with the panel occur. At the joint meeting, the chancellor will communicate his or her concerns and the panel will have an opportunity to respond. The joint meeting must occur within the 42 calendar-day period. No meeting is required if the chancellor decides to concur with the panel’s recommendations

The chancellor must base his or her decision on a thorough review of (1) the record evidence from the hearing and (2) the report of the panel. While the chancellor should give deference to the advice of the faculty panel, the final campus-based decision lies with the chancellor.

The chancellor will inform the complainant of a decision in writing by a method that produces adequate evidence of delivery. If the chancellor concurs in a recommendation of the 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 by filing a written notice of appeal with the Board of Trustees. This appeal shall be transmitted through the chancellor and be addressed to the chair of the Board of Trustees, by submitting such notice by certified mail, return receipt requested, or by another means that provides proof of delivery, within 14 calendar days after the faculty member’s receipt of the chancellor’s decision. The notice must contain a brief statement that alleges one or more of the following as the basis for the appeal: (a) that the campus-based process for reviewing the decision was materially flawed, so as to raise questions about whether the faculty member’s contentions were fairly and reliably considered; (b) that the result reached by the chancellor was clearly erroneous; or (c) that the decision was contrary to controlling law or policy. The Board of Trustees’ decision shall be made as soon as reasonably possible after receiving the faculty member’s request for an appeal. This decision is final and shall end the University’s appeals process.

SECTION I.III, Due Process Before Discharge or Imposition of Serious Sanctions

CONTENTS

1. Bases for Serious Disciplinary Sanctions or Discharge
2. Notice to Faculty of Imposition of Sanctions or Discharge
3. Request for a Hearing
4. Due Process Panel
5. Procedures for a Hearing
6. Procedures After a Hearing
7. Appeal of Chancellor’s Decision
8. Suspension During a Period of Intent to Discharge

I. Bases for Serious Disciplinary Sanctions or Discharge

A faculty member who is the beneficiary of institutional guarantees of tenure shall enjoy protection against unjust and arbitrary application of disciplinary sanctions. For purposes of the Faculty Manual, a faculty member serving in a fixed-term or probationary appointment shall be regarded as having tenure until the end of the term. During the period of such guarantees, the faculty member may be discharged from employment, suspended, or demoted in rank or serious sanctions may be imposed only for reasons of:

1. Incompetence, including significant, sustained unsatisfactory performance after the faculty member has been given the opportunity to remedy such performance and fails to do so within a reasonable time;
2. neglect of duty, including sustained failure to meet assigned classes or to perform other significant faculty professional obligations; or
3. misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty, including violations of professional ethics, mistreatment of students or other employees, research misconduct, financial fraud, criminal or other illegal, or inappropriate or unethical conduct. To justify serious disciplinary actions, 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 to adversely reflect on the individual’s honesty, trustworthiness, or fitness to be a faculty member.

Classification of alleged conduct as one categorical basis for imposition of sanctions or discharge, when the conduct more appropriately meets the definition of another (e.g., willful, intentional neglect of duty might be considered misconduct), shall not be considered a deficiency in the charge if the conduct at issue is clearly referenced in the notice of intent to discharge and evidence of the nature and/or duration of the alleged conduct supports the severity of the sanction or discharge proposed.

These provisions do not apply to non-reappointment or non-conferral of permanent tenure at the end of the probationary period (governed by provisions in Part XII, Section I.II), or termination of employment based on institutional considerations (governed by provisions in Part XII, Section I.IV).

II. Notice to Faculty of Imposition of Sanctions or Discharge

The vice chancellor with supervisory authority shall provide written notice to the faculty member of intent to discharge from employment or to impose serious sanction, including a written specification of the reasons for the sanction. The notification shall be sent by a method
that provides delivery verification and is consistent with UNC Policy 101.3.3. The notice shall include a statement of the faculty member's right, upon request, to a hearing by a Due Process Panel (Faculty Senate Resolution #99-10). If no written request for a hearing (see III. below) is received within 14 calendar days after receipt of this notification, the faculty member may be discharged or sanctions may be imposed without recourse to any institutional grievance or appellate procedure.

III. Request for a Hearing

A faculty member has 14 calendar days to request a hearing after receipt of written notification of the reasons for the sanction. A request for a hearing is made to the vice chancellor with supervisory authority, in writing by a method that provides delivery verification and is consistent with UNC Policy 101.3.3. The vice chancellor shall notify the appropriate appellate chair of the need to convene a Due Process Panel within 10 calendar days of receiving this request.

IV. Due Process Panel

The Due Process Panel (hereafter, “the panel”) shall be composed of five regular members and one alternate who shall attend all sessions of the hearing and replace, for the remainder of the process, a regular member who is unable to attend the entire hearing. Panel members shall be full time, permanently tenured voting faculty (as per Part IX, Section IV) without administrative appointment and be chosen in accordance with the procedures for election of the Appellate Committee specified in the Bylaws of the East Carolina University Faculty Senate, and appointment of appeals panels described in Part XII, Section I.I of this Faculty Manual. Upon organization, the members of the panel shall elect a chair and secretary. Should either officer be absent at the beginning of a hearing, the panel members shall elect an alternate for the purposes of the hearing. A quorum for the panel shall be the five members or four members and the alternate.

When the panel is convened to consider any matter associated with a faculty member's request for a hearing, those Appellate Committee members who (i) hold an appointment in the complainant's academic unit, (ii) might reasonably expect to be called as witnesses, (iii) might reasonably expect to be asked to serve as an advisor (see subsection V.B, Procedures for the Hearing) to any party of the hearing, or (iv) may have any other conflict of interest, should be disqualified from participation on a panel related to the specific request for a hearing. The faculty member and the vice chancellor with supervisory authority are permitted to challenge panel members for just cause. The other members of the panel will decide by majority vote on any potential disqualifications if a panel member is so challenged but wishes to remain (Faculty Senate Resolution #99-10).

When membership of the panel falls below the specified five members and one alternate, the appellate chair will select additional members of the Appellate Committee to serve on the panel as specified in Part XII, Section I.I of the Faculty Manual.

The panel may at any time consult with an attorney in the office of the University Counsel. The consulting attorney should not have present or prior substantive involvement in the matter that gave rise to the hearing, nor advise University administrator(s) substantively regarding the panel’s recommendation(s) during the review process.

V. Procedures for the Hearing

1. Time and Date of Hearing
   The Due Process Panel shall set the time, date, and place for the hearing. The panel shall accord the faculty member 30 calendar days to prepare a defense from the time it receives the faculty member’s written request for a hearing. The panel may, upon the faculty member's written request and for good cause, postpone the date of the hearing by written notice to the faculty member and vice chancellor. The panel shall promptly notify the affected faculty member, the vice chancellor with supervisory authority, and the chair of the faculty of the time, date, and place of the hearing. The panel ordinarily will endeavor to complete the hearing within 90 calendar days except under unusual circumstances such as when a hearing request is received during official university breaks and holidays and, despite reasonable efforts, the panel cannot be assembled.
2. Conduct of Hearing
   The hearing shall be concerned with the written specification of reasons for the intended discharge or imposition of a serious sanction. The panel chair is responsible for conducting the hearing and for maintaining order. Except as provided for herein, the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. Attendance at the hearing is limited to panel members and the alternate, the faculty member requesting the hearing, advisor/attorney for the faculty member, the vice chancellor with supervisory authority, or their designee, and an advisor/attorney for the vice chancellor. The person advising the respondent(s) at the hearing may be either an East Carolina University faculty member (with or without administrative appointment) approved by the chancellor, or an East Carolina University attorney. Other persons (witnesses) providing information to the panel shall not be present throughout the hearing but shall be available at a convenient location to appear before the panel as appropriate. A professional court reporter must be used to record and transcribe the hearing (Faculty Senate Resolution #03-37). The hearing shall be closed to the public unless both the faculty member and the panel agree that it may be open.
   
   The hearing shall begin with an opening statement by the panel chair limited to explaining the purpose of the hearing and the procedures to be followed. Following the opening remarks by the panel chair, the vice chancellor with supervisory authority (or their designee) or advisor/attorney, shall present the university's contentions and any supporting witnesses and documentary evidence. The faculty member or their advisor/attorney may then reply and present any supporting witnesses and documentary evidence. During these presentations, the vice chancellor, or designee, the faculty member and their respective advisors/attorneys shall have the right to question and cross-examine witnesses, and to make arguments. Panel members may question witnesses for purposes of clarification. At the conclusion of the hearing, the faculty member and then the vice chancellor or designee, or their respective advisors/attorneys will be given the opportunity to provide summary statements (Faculty Senate Resolution #99-10).

VI. Procedures After the Hearing

After the hearing, the panel shall meet in executive session and begin its deliberations within three calendar days. In reaching its decisions the panel shall consider only the testimony and other materials entered or presented as evidence during the hearing and such written or oral arguments as the panel, at its discretion, may allow. The University has the burden of proof. In evaluating evidence, the panel shall use the standard of “clear and convincing” evidence in determining whether the institution has met its burden of showing that permissible grounds for the discharge or serious sanction exist and are the basis for the recommended action. “Clear and convincing” is a higher standard than “preponderance” of evidence and must indicate that the University’s case is substantially more likely to be true than not true.

Within 14 calendar days of finishing its deliberations or after the full transcript is received, whichever is later, the panel shall provide the faculty member and the chancellor with a copy of its report, including materials entered as evidence, and a copy of the court reporter's transcript of the hearing. In its report, the panel shall state whether it recommends that the intended sanction be imposed (Faculty Senate Resolution #03-37).

In reaching a decision, the chancellor shall consider only the written transcript of the hearing, including materials offered in evidence in the panel’s hearing and the documents that constitute the record of the appeal, including but not limited to the notice of intent to discharge or impose sanctions, the faculty member’s request for a hearing, and the report of the panel. Within 30 calendar days of receiving the report and the court reporter’s written transcript of the hearing along with the materials offered in evidence at the hearing, the chancellor's decision shall be conveyed in writing to the panel and the affected faculty member by a method that provides delivery verification and is consistent with UNC Policy 101.3.3.

VII. Appeal of Chancellor’s Decision

If the chancellor concurs in a recommendation of the panel that is favorable to the faculty member, the decision shall be final. If the chancellor rejects a recommendation of the panel, the chancellor shall state the reasons for doing so in a written decision. If the chancellor either declines to accept a panel recommendation that is favorable to the faculty member or concurs in a panel recommendation that is unfavorable to the faculty member, the faculty member may appeal the chancellor's decision to the Board of Trustees.

An appeal must contain a brief statement that alleges one or more of the following as the basis for the appeal: (1) that the process for making the decision was 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 was clearly erroneous; or (3) that the decision was contrary to controlling law or policy.

This appeal shall be transmitted through the chancellor and be addressed to the chair of the Board. The faculty member must file the notice of appeal by certified mail, return receipt requested, or by another means that provides proof of delivery, within 14 calendar days after the faculty member receives the chancellor's decision. The notice of appeal shall be filed with the Board of Trustees within 14 calendar 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 based on the written transcript of the hearing held by the Due Process Panel, including materials offered in evidence and the documents that constitute the record of the appeal, including but not limited to the notice of intent to discharge or impose sanctions, the faculty member’s request for a hearing, and the report of the panel; however, at its discretion, the Board may hear such other evidence as it deems necessary, with the opportunity for rebuttal. 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 Trustees. This decision is final and shall be the end of the University’s appeal process.

VIII. Suspension During a Period of Intent to Discharge

When a faculty member has been notified of the institution's intention to discharge the faculty member, the chancellor may reassign the individual to other duties or suspend the faculty member at any time until a final decision concerning discharge or imposition of serious sanctions has been reached by the procedures prescribed herein. Suspension shall be exceptional and shall be with full pay and benefits.

SECTION I.IV, Appeals of Termination of Faculty Employment Based Upon Institutional Considerations

CONTENTS

1. Reasons Justifying Termination and Consultation Required
2. Termination Procedures
3. Request for a Reconsideration Hearing
4. The Reconsideration Panel
5. Procedures for a Hearing
6. Procedures After a Hearing
7. Appeal to the Board of Trustees

I. Reasons Justifying Termination and Consultation Required

1. Reasons for Terminating Employment
   The employment of a faculty member with permanent tenure or a faculty member holding a fixed-term or probationary appointment may be terminated by East Carolina University 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 institutional enrollment or by other action or events that compel a reduction in the institution's current operations budget. If the institution faces financial exigency or needs to consider a major curtailment or elimination of a teaching, research, or public-service program, the chancellor or chancellor’s designee shall first seek the advice and recommendations of the academic administrative officers and faculties following the process defined in subsection I.B below.
   
   This determination is subject to concurrence by the UNC President and then approval of the UNC 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 employment of the faculty member may be terminated in accordance with Section 605 B (1) of The Code of The University of North Carolina and the institutional procedures set out below.
2. Consultation with Faculty and Administrative Officers
   If it appears that the institution will experience financial exigency or needs to consider a major curtailment or elimination of a teaching, research, or public-service program, the chancellor or chancellor’s delegate shall seek the advice and recommendations of the academic administrative officers and faculties of the department(s) in question, from units representing complementary disciplines, and from other units that might be affected.
   The chancellor or the chancellor's designee shall prepare a report that identifies specifically the state of financial exigency or the program change. The report should outline the options readily apparent to the chancellor at the time and must describe clearly any options that would or might involve terminations of faculty employment.
   
   The chancellor's report shall be directed to the Educational Policies and Planning Committee (EPPC) for their written advice and recommendations. In considering this report the EPPC shall have access to information that formed the basis for the chancellor's report and may interview appropriate persons. The EPPC shall be provided a reasonable timeframe to prepare a response to the chancellor’s report, to be submitted no later than a date determined by the chancellor.
   
   Following receipt of the EPPC's report or expiration of the time allowed for submission of the report, should the chancellor decide to consider reducing a unit's faculty for reasons of financial exigency or major curtailment or elimination of a program, the chancellor shall promptly notify, in writing, any faculty member to be terminated following procedures outlined in section II below.

II. Termination Procedures

1. Consideration in Determining Whose Employment is to be Terminated
   In determining which faculty member's employment is to be terminated for reasons set forth in Section 605 A of the UNC Policy Manual, the chancellor shall give consideration 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 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, a permanently tenured faculty member shall be given at least twelve months of notice. A faculty member without permanent tenure shall be given notice in accordance with the requirements specified in subsection II.C below.
   2. When a faculty member's employment is to be terminated because of financial exigency, the institution will make every reasonable effort, consistent with the need to maintain sound educational programs and within the limits of available resources, to give the same notice as set forth in the preceding paragraph.
3. Type of Notice to be Given
   1. An individual faculty member whose employment is to be terminated shall be notified of this fact in writing by a method that provides delivery verification and is consistent with UNC Policy 101.3.3. This notice shall include: (i) a statement of the conditions requiring termination of the faculty member's employment; (ii) a general description of the procedures followed in making the decision; (iii) a disclosure of pertinent financial or other data upon which the decision was based; (iv) a statement of the faculty member's right to reconsideration of the decision by a faculty appellate panel if the faculty member alleges that the decision to terminate employment was arbitrary or capricious; and (v) a copy of this procedure on termination of employment.
   2. For a period of two years after the effective date of termination of a faculty member's contract for only reasons specified in subsection I.A above, the institution shall not replace the faculty member in a comparably defined position without first offering the position to the person whose employment was terminated. The offer shall be sent by a method that provides delivery verification and is consistent with UNC Policy 101.3.3 to the address last furnished to the chancellor's office, and the faculty member will be given 30 calendar days after attempted delivery of the notice to accept or reject the offer. The offer to resume a terminated position shall provide for tenure status, rank, and salary at least equal to those held by the faculty member at the time of termination.
   3. When requested by a faculty member whose employment has been terminated, the institution shall give reasonable assistance in finding other employment. Such assistance should include, for example, administrative assistance, access to the telephone (including long distance), University/unit stationery and postage, travel funds to professional meetings, and other assistance as deemed reasonable and appropriate in the profession.
4. Termination if Reconsideration is Not Requested
   If, within 14 calendar days after receipt of required notice, the faculty member makes no written request for a reconsideration hearing, employment will be terminated at the date specified in the notice, and without recourse to any institutional grievance or appellate procedure.

III. Request for Reconsideration Hearing

Within 14 calendar days after receiving the required notice, the faculty member may request a reconsideration of the decision to terminate employment by a method that provides delivery verification and is consistent with UNC Policy 101.3.3. The request shall be submitted to the chancellor and shall specify the contention that the decision to terminate employment was arbitrary or capricious, and shall include a short, plain statement of facts that the faculty member believes support that contention. Upon receipt of such a request the chancellor shall, within 10 calendar days, notify the appropriate appellate chair of the need to convene a Reconsideration Hearing Panel.

IV. The Reconsideration Panel

The Reconsideration Panel (hereafter, “the panel”) shall be composed of five members and one alternate, each of whom is a full time permanently tenured voting faculty member without administrative appointment. The alternate shall attend all sessions of the hearing and shall replace a regular member should that member be unable to attend the entire hearing. Members shall be chosen in accordance with the procedures for election of the Appellate Committee specified in the Bylaws of the East Carolina University Faculty Senate, and appointment of appeals panels described in Part XII, Section I.I of this Faculty Manual. A quorum for the panel shall be five members or four members and the alternate. If membership of the panel falls below the specified five members and one alternate, the appellate chair will appoint additional members of the Appellate Committee as described in Part XII, Section I of the Faculty Manual.

Upon organization, the members of the Reconsideration Panel shall elect a chair and secretary. Should either officer be absent at the beginning of a hearing, the panel members shall elect an alternate for the purposes of the hearing.

When the panel is convened to consider any matter associated with a faculty member's request for a hearing, those Appellate Committee members who hold an appointment in the faculty member's academic unit, those who might reasonably expect to be called as witnesses, those who participated directly in the decision to terminate the faculty member's employment, or those who may have any other conflict of interest should be disqualified from participation in the activities of a panel related to this specific request for a hearing. The faculty member and the chancellor, or the chancellor's designee, are permitted to challenge panel members for just cause. The other members of the panel, including the alternate, will decide by majority vote (excluding the panel member challenged) on any potential disqualifications if a panel member is challenged but wishes to remain.

The panel may at any time consult with an attorney in the office of the University Attorney. The consulting attorney should not have present or prior substantive involvement in the matter that gave rise to the hearing, nor advise the University administrator(s) substantively regarding the panel’s recommendation(s) during the review, although individual attorneys may play the same role at different points in the process.

V. Procedures for the Hearing

1. Time and Date of Hearing
   The Reconsideration Panel shall set the time, date, and place for the hearing. The date for the hearing should be within 42 calendar days of the time the appellate chair receives the chancellor's notification of the faculty member's written request for a hearing. The panel chair shall notify the affected faculty member, the chancellor, and the chair of the faculty of the time, date, and place of the hearing. The panel may, upon the faculty member's written request and for good cause, postpone the date of the hearing by written notice to the faculty member, chancellor, appellate chair, and chair of the faculty.
2. Conduct of Hearing
   The Reconsideration Panel's review of the faculty member's appeal shall be limited solely to determining whether the decision to terminate employment was arbitrary or capricious. The panel chair is responsible for conducting the hearing and for maintaining order during the hearing. Except as provided for herein, the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. Attendance at the hearing is limited to the panel members and alternate, the faculty member requesting the hearing, advisor or counsel for the faculty member, the chancellor or designee (hereinafter, the chancellor), and counsel for the chancellor. Other persons (witnesses) providing information to the panel shall not be present throughout the hearing, but shall be available at a convenient location to appear before the panel as appropriate. Upon request, the faculty member and the panel shall be given access to documents that were used in making the decision to terminate the faculty member's employment. A professional court reporter must be used to record and transcribe the hearing (Faculty Senate Resolution #03-37).
   
   The hearing shall begin with an opening statement by the panel chair limited to explaining the purpose of the hearing and the procedures to be followed. Following the opening remarks by the panel chair, the faculty member or the faculty member's counsel shall present his or her contentions and any supporting witnesses and documentary evidence. The chancellor or the chancellor's counsel may then reply and present any supporting witnesses and evidence in rebuttal of the faculty members contentions or in general support of the decision to terminate the faculty member's employment. During these presentations, the faculty member or his or her counsel, and the chancellor, chancellor’s designee, or his or her counsel, may question
   any of the witnesses. Panel members may question witnesses for purposes of clarification. At the conclusion of the hearing, the faculty member or their advisor or legal counsel, and then the chancellor, designee, or counsel will be given the opportunity to provide summary statements.

VI. Procedures After the Hearing

The panel shall meet in executive session to begin its deliberations no more than three calendar days after the hearing. In reaching its decisions the panel shall consider only the testimony and other materials entered or presented as evidence during the hearing.

Within 14 calendar days of finishing its deliberations or receipt of the court reporter’s transcript, whichever is later, the panel shall provide the faculty member and the chancellor with a copy of its report, including materials entered as evidence, and a copy of the court reporter's transcript of the hearing (Faculty Senate Resolution #03-37).

If the Reconsideration Panel determines that the contention of the faculty member has not been established, the report shall, by a simple unelaborated statement, so notify the faculty member, the chair of the faculty and the chancellor.

If the panel determines that the faculty member's contention has been satisfactorily established, the report shall so notify the faculty member, the chair of the faculty, and the chancellor, and provide a recommendation for corrective action by the chancellor.
Within 10 calendar days after receiving the recommendation, the chancellor shall send written notice to the faculty member by a method that provides delivery verification and is consistent with UNC Policy 101.3.3, with copies to the chair of the faculty and the chair of the Reconsideration Panel, giving a decision and stating what modification, if any, will be made with respect to the original decision to terminate the faculty member's employment.

If the chancellor concurs in the recommendation of the Reconsideration Panel and withdraws the termination notice, the decision is final and written notification thereof shall be sent to the faculty member, the chair of the faculty, and the chair of the Reconsideration Panel. If the original termination decision is not reversed, the chancellor shall send written notice of such to the faculty member by a method that provides delivery verification and is consistent with UNC Policy 101.3.3, with copies to the chair of the faculty and the chair of the Reconsideration Panel. The faculty member may appeal the termination to the Board of Trustees within 10 calendar days following receipt of the chancellor’s decision (Faculty Senate Resolution #99-4).

VII. Appeal to the Board of Trustees

This appeal shall be transmitted through the chancellor and shall be addressed to the chair of the Board. The faculty member must file a notice of appeal within 14 calendar days after the faculty member receives the chancellor's decision. The appeal to the Board of Trustees shall be decided by the full Board; 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 designated committee shall consider the appeal based on the written transcript of the hearing held by the Reconsideration Panel, including materials offered in evidence and the documents that constitute the record of the appeal. These include, but are not limited to, the statement of termination, the faculty member’s request for a hearing, and the report of the panel. At its discretion, the Board may hear such other evidence as it deems necessary,
with the opportunity for rebuttal. 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 Trustees. The decision of the Board of Trustees shall be final.

In compliance with UNC Code 602 (1) final approval of this Part XII, Section I involves the Faculty Senate, Chancellor, Senior Vice President for Academic Affairs, General Counsel, and President of UNC System.

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Faculty Senate Resolution #12-17, February 2012
Faculty Senate Resolution #14-32, April 2014
Faculty Senate Resolution #19-69, April 2021

Part XII, Section II: Faculty Grievance Procedures and Appeals of Non-Conferral of Early Tenure

CONTENTS

1. Policies and Procedures for General Faculty Grievances and for Appeals of Non-conferral of Early Tenure
2. Grievance Procedures Related to Complaints of Unlawful or Prohibited Harassment, Discrimination or Improper Relationships Brought Against East Carolina University Faculty Members or Administrators Holding Faculty Status
3. Effective Date

SECTION II.I, Policies and Procedures for General Faculty Grievances and for Appeals of Non-conferral of Early Tenure

CONTENTS

1. Faculty Grievances
2. The Grievance Panel
3. General Grievances
   1. Step One (Informal Conflict Resolution)
   2. Step Two (Petition for Redress)
   3. Step Three (Mediation and/or Chancellor Review)
   4. Step Four (Request for Hearing)
   5. Step Five (The Hearing)
   6. Step Six (Hearing Panel Report)
   7. Step Seven (Appeal to Board of Trustees)
4. Grievances Resulting From the Non-Conferral of Early Permanent Tenure When the Non-Conferral Decision is Not Concurrent with A Reappointment Decision
5. Annual Report
6. Application
7. Grievance Committee By-Laws and Procedures

Footnotes

Part XII, Section II.I provides for peer review of general faculty grievances and appeals of non-conferral of early tenure through a formal procedure that, depending on the grievance, includes access to mediation or direct review, and the potential for an appellate panel hearing of the grievance. Grievance procedures in Part XII, Section II.I are confined to the faculty and administrative structure of East Carolina University. There are no appeals through Part XII-Section II.I beyond the Board of Trustees.

I. Faculty Grievances

There are two classifications of grievances covered by this section. The first is referred to as a “General Grievance” and the second is a “Grievance Resulting From The Non-conferral of Early Permanent Tenure When The Non-conferral Decision Is Not Concurrent With A Reappointment Decision” (hereafter, non-conferral of early tenure).

The two grievance classifications and differences in the grievance procedures reflect the Board of Governors requirement that an internal grievance process be provided for non-conferral of early permanent tenure that is not concurrent with a reappointment decision. This requirement and the authority to establish different grievance procedures are set forth in Section 607 of The Code of The University of North Carolina and further elaborated in The UNC Policy Manual 101.3.2. The establishment of separate grievance procedures provides two assurances. First, it ensures there is a review process for the faculty member when the non-conferral of permanent tenure was based on an early request, for which appeals to the Board of Governors are not allowed. Appeals of non-conferral of tenure at end of the established probationary period are governed by the provisions in Part XII, Section I.II. Second, the bases for the grievance provided in Part XII, subsection II.I.IV for a grievance of non-conferral of early tenure do not apply to General Grievances covered in this section.

No grievance that involves matters related to a formal proceeding for the imposition of serious sanction, discharge, or termination of a faculty member's employment, or that is within the jurisdiction of another appellate panel, falls within the charge of these general Faculty Grievance provisions (See Part XII, Sections I.II covering review of non-reappointment or non-conferral of tenure at the completion of a probationary term; I.III covering due process before discharge or the imposition of serious sanctions; and I.IV covering appeals of termination of faculty employment based upon institutional considerations).

II. Grievance Panel

The Grievance Panel (or “the panel”) shall be composed of five regular members and one alternate, chosen from the Appellate Committee in accordance with Part XII, Section I.I.

Upon receipt of the grievant’s Petition for Redress (Step Two), the appellate chair responsible for Grievance Panel hearings (Part XII, Section I.I) will inquire of panel members about the existence of potential conflicts of interest (which include, but are not limited to, any grounds for recusal listed in this paragraph) and will automatically recuse from participation in the appeal any member from the grievant’s or respondent’s relevant department, unit, college, or school, or any member with whom either the grievant or respondent(s) has had an amorous relationship, or is related by blood, law, or marriage (as defined in UNC Policy Manual 300.4.2 and 300.4.2.1[G]). Committee members shall recuse themselves from participating in a grievance if they have a reason to believe that such participation represents or will create a conflict of interest.

The appellate chair’s responsibility is to provide the grievant and respondent(s) a process for a possible resolution of the grievance. The appellate chair will provide only procedural information to the parties of the grievance, and shall not function as an advocate for either party. Procedural information includes the membership of the Appellate Committee, its charge, the options open to the parties to the grievance, and similar information.

Upon receipt of a request for a hearing (Step Four), the appellate chair shall determine the availability of the Appellate Committee members in lottery rank order to form a Grievance Panel consisting of five members plus one alternate who will replace any member unable to attend the entire hearing. When choosing panelists in rank order, the appellate chair will ensure that representatives from the respective ranks of both the grievant and respondent are included on the panel. Any party to a grievance may request that any member of the panel be recused from the hearing for conflict of interest. Such a request shall be in writing, stating the reason(s) for the request and be provided to the appellate chair not later than 5 calendar days after notification in Step Four of a hearing date. If
the panel member declines recusal, the established panel, including the alternate, shall determine obligatory recusal by a majority vote (the member in question not participating). The recused panel member will be replaced by the current alternate member, and the appellate chair will appoint a new alternate following the same procedure as above.

III. General Grievances

General grievances shall be limited to matters directly related to a faculty member's employment status and institutional relationships within East Carolina University. Grievances shall be limited to remediable injuries attributable to the violation of a right or privilege based on federal or state law, university policies or regulations, or commonly shared understandings within the academic community about the rights, privileges, and responsibilities of university employment or conduct that deprived the faculty member of an advantage that they otherwise would have received.

To promote and allow for adequate efforts at informal conflict resolution, the deadline for initiating a grievance is the end of the following Spring semester for an incident alleged to have occurred during the Fall semester (August 16th to December 31st) and the end of the Fall semester for an incident alleged to have occurred during the Spring semester or during the summer months between the Spring and the Fall semesters (January 1st to August 15th). This deadline may be extended by a majority vote of the Appellate Steering Committee if, in the committee’s opinion, there are extenuating circumstances despite due diligence.

The Appellate Steering Committee and Grievance Panel shall hold the grievant responsible for progressing through the grievance steps in a timely manner. If time delays are encountered because of the respondent(s), the grievant shall bring this to the attention of the appellate or panel chair as appropriate to the stage of the grievance at the time.

The grievant may terminate the grievance at any time during the process by notifying the appellate chair in writing. The appellate chair will issue a written memorandum to all parties regarding the termination of the grievance. Any such notice of termination is final and the grievance is closed.

1. Step One: Conflict Resolution.
   Prior to initiating a grievance with the Appellate Committee, a faculty member shall make a concerted effort to resolve the issue through informal conflict resolution. Faculty are encouraged to take advantage of University resources for conflict resolution and informal mediation (Office of University Ombuds) in trying to settle complaints without entering into formal grievance procedures. This can provide a less antagonistic venue, in the presence of a neutral third party trained to facilitate discussions, which can reduce tensions and lead to an equitable agreement.
   
   Before filing a complaint with the Appellate Committee, an objecting faculty member (the potential grievant) at a minimum shall meet with the potential respondent(s) and attempt to resolve the conflict at issue. At or before this meeting the objecting faculty member shall provide the potential respondent(s) with a written statement setting forth the nature of the problem and the redress sought. If there are multiple claims, each should be presented clearly. This statement should include all information necessary to support each of the objecting faculty member’s claims, giving the respondent an opportunity to identify, understand, and address each concern. Both parties will have an opportunity to submit information and documents in support of their claims and responses before a hearing, should the issue proceed to a grievance (see Step Four below).
   
   The objecting faculty member and respondent should meet in face-to-face discussion(s) about the substance of the problem and are encouraged to use University resources for informal conflict resolution to aid in resolving differences. In cases where the respondent refuses to meet, the objecting faculty member shall, by a memorandum with a copy to the respondent, inform the appellate chair and the next higher-level administrator in their program. Before proceeding to a formal grievance (Step Two), the objecting faculty member shall provide the respondent with the Petition for Redress that the grievant intends to submit in Step Two.
   
   During attempts to resolve conflicts, each party may select a counselor who may also serve as an advisor throughout a conflict resolution and/or grievance process, but who shall not participate nor be called as a witness in a hearing (see Step Five). A list of potential faculty counselors is maintained by the Faculty Senate Office; however, the parties to the conflict may choose any eligible ECU current or retired faculty members as counselors, or may choose to have no counselor. It is recommended that counselors be tenured professors with extensive experience in faculty governance, as evidenced by service on university governance/appellate committees, and not be associated with the conflict in any way. Association with the conflict includes individuals who may reasonably be called as a witness by either party, should the complaint proceed into the formal grievance process.
   
   For impartial adjudication of a conflict, either party may require availability of information that is controlled or in the possession of the other party or the administration. Upon specific request by a party to the conflict, the other party or the administration shall provide the requesting party with information bearing on the conflict that is not otherwise confidential as a matter of law (“privileged”).
   
   In cases where a formal Petition for Redress has been filed (see Step Two below), either party to the grievance may request that the Appellate Steering Committee or Grievance Panel (once a grievance has proceeded to Step Four) evaluate the basis for a claim of privileged information, and the potential value of that information to resolving the grievance. If the privileged information is deemed to bear substantively on the grievance, the steering committee/panel is required to seek resolution of the issue of privilege through the relevant vice chancellor, or through the chancellor if the vice chancellor is party to the grievance. If the information has a material bearing on the grievance but cannot be obtained for legal reasons, the steering committee/panel shall decide whether continuing the grievance would be unfair to the grievant and/or respondent. If deemed unfair to continue, the grievance process will be terminated with the reason(s) stated clearly in a memorandum to all parties to the grievance, thereby ending the administrative appeal process at East Carolina University. All requested information that is received shall be distributed to the appellate chair/panel chair and to all parties to the grievance.
2. Step Two (Petition for Redress)
   A Petition for Redress by the grievant should be addressed to the Appellate Committee chair, and have appended a copy of the grievant’s written statement from a Step One meeting with the respondent. It shall be submitted with a statement that the grievant completed Step One above, and that with this petition the grievant intends to pursue a formal grievance.
   
   Ten copies of the Petition for Redress, which should not exceed 20 pages, must be delivered to the Faculty Senate Office. The appropriate appellate chair will ascertain if the grievant has completed Step One. If the grievant has not followed Step One, the chair will inform the grievant that Step One is not completed and must be completed prior to any further action being taken by the Appellate Committee.
   
   Based on information contained in the grievant’s Petition for Redress, the Appellate Steering Committee shall determine whether the grievance is within the charge of Part XII, Section II.I. The committee may decide that none, some, or all of the issues in the Petition for Redress are appropriate for a general grievance. Issues not within the charge of Part XII, Section II.I will receive no further attention and the committee’s decision concerning grievance issues shall be communicated by memorandum to the grievant and respondent. The ECU administrative appeal process is ended for those issues rejected by the committee, unless they fall within the scope of a different appellate process. Except after mediation, the Petition for Redress shall not be modified.
   
   All material collected as part of the grievance shall be put in the grievance file maintained in the Faculty Senate Office under the grievant’s name. This grievance file becomes a part of the grievant’s Personnel File and, where appropriate, the respondent’s Personnel File. A note will be placed in the grievant’s and, where appropriate, respondent’s Personnel File(s) to indicate the location of the additional records.
3. Step Three (Mediation and/or Chancellor Review)
   After the committee has determined which, if any, issues raised in the grievant’s Petition for Redress are within the charge of Part XII, Section II.I, the grievant may request:
   1. Mediation (see C.1) followed by the Chancellor Review (see C.2) or a hearing (see Step Four) on any unresolved issues.
   2. The Chancellor Review without mediation (see C.2).
   3. A hearing without mediation (see Step Four).
   4. Termination of the grievance (see Step Four).
      1. Mediation
         The appellate chair shall offer the parties to the grievance the opportunity to seek a resolution through mediation (The UNC Policy Manual 101.3.2.III). Mediation is limited solely to the grievant and the respondent. Each party will be asked to respond within 15 calendar days after the date of notification by the appellate chair as to their acceptance of mediation. Once all parties to the grievance have accepted mediation, the grievant shall not pursue the grievances at administrative levels higher than that of the respondent. To do so is inconsistent with the mediation process and will result in the termination of the grievance procedures, ending administrative review of the grievance. Rejection of mediation shall have no bearing on decisions or recommendations related to the grievance. Unless the grievant pursues a Chancellor Review, if any party to the grievance rejects mediation and the grievant requests a hearing, the appellate chair will notify the parties that a Grievance Panel will be formed and will set a grievance hearing date (Step Four).
         
         If the grievant and the respondent accept mediation, the Faculty Senate Office administrator and chair of the faculty will be responsible for securing a mediator. To avoid real or apparent conflicts of interest, all mediation will be conducted by a third party mediator with no formal association with East Carolina University nor prior association with either party to the grievance, and who is certified by the North Carolina Administrative Office of the Courts.
         
         The parties to the grievance will inform the appellate chair within 5 calendar days of receiving the name as to whether the mediator is acceptable or unacceptable. An alternate mediator will be located if necessary. After the second attempt, unless the grievant pursues a Chancellor Review, if no acceptable mediator can be located, the appellate chair will so notify the parties to the grievance and inform them that, should the grievant request a hearing, a panel will be formed and grievance hearing date set (Step Four).
         
         If an acceptable mediator is identified, the parties to the grievance will be informed of the selection. The Petition for Redress and the committee’s memorandum will be provided to the mediator by the appellate chair. The mediator will communicate to the appellate chair the beginning date of the process. The mediator will inform the appellate chair on a monthly basis that mediation is continuing with measurable progress. The mediation process shall not exceed 42 calendar days without formal approval of the appellate chair or 60 days without the formal approval of the full Appellate Steering Committee.
         
         Mediation will continue until such time that:
         1. An agreement among the parties is reached (subject to time limits).
         2. A party or the mediator writes to the committee chair that further mediation is unlikely to be successful.
         3. A party to the grievance writes to the committee chair a desire to terminate mediation because of resistance to or undue delays in scheduling mediation meetings, or because the mediator is no longer deemed acceptable.
            
            Events b. through c. above will cause the appellate chair to notify the parties to the grievance that the mediation process is being terminated and, unless the grievant requests Chancellor Review, inform the grievant to move to Step Four if desired. Decisions by the grievant, respondent, or mediator to terminate mediation shall have no bearing on decisions or recommendations related to the grievance. All information from the mediation process is confidential and inadmissible in the grievance hearing.
            
            If an agreement is reached, the grievance will be considered closed and a copy of the agreement, signed by all parties to the grievance, will be placed in the grievance file maintained in the Faculty Senate Office. It is expected that most agreements will require only the authority of the respondent for a unit commitment but some may require the authority of the chancellor. If the chancellor rejects the agreement, the parties may continue mediation or the grievant may request either a Chancellor Review or a hearing.
            
            If the mediation process produces a partial settlement, those issues shall be removed from the committee’s memorandum to the grievant and respondent as determined in Step Two. A signed copy of the partial agreement shall be placed in the grievance file. The grievant may request a Chancellor Review or a hearing for remaining issues (Step Four).
      2. Chancellor Review Within 20 calendar days from the request for a Chancellor Review, the grievant shall provide to the chancellor, the respondent, and the appellate chair copies of the Petition for Redress along with the committee’s memorandum and any information that supports the grievant’s contentions. Within 10 calendar days, with copies to the grievant and appellate chair, the respondent may submit to the chancellor a written response to the Petition for Redress and any other documents provided by the grievant. The chancellor shall provide a response to the grievant, with copies to the appellate chair and the respondent, within 20 calendar days of the chancellor’s receipt of all materials. The chancellor may extend any of these deadlines if they deem it to be in the best interest of the university.
         
         The chancellor’s decision is final and may not be appealed. A copy of all information submitted to the chancellor and the chancellor’s decision shall be placed in the grievance file and the grievance closed.
4. Step Four (Request for a Hearing)
   If the grievance is not resolved, by memorandum to the committee chair with a copy to the respondent, the grievant shall request a hearing, or state that the grievance will not be pursued. If mediation has occurred, the Appellate Steering Committee will again review the grievant’s Petition for Redress in light of any changes that may have resulted from mediation. The steering committee will establish a Grievance Panel if it determines that all or some of the issues unresolved by mediation allege an injury that would entitle the faculty member to relief under Part XII, Section II.I. In this case, the steering committee shall provide an updated memorandum to the grievant and respondent(s) explaining remaining issue(s) to address in a hearing. Should the steering committee determine that remaining issues are no longer within the purview of a Faculty Grievance Panel, this decision will exhaust the administrative appeals process, and shall be communicated by a method that produces adequate evidence of delivery to all parties to the grievance.
   
   Once a Grievance Panel is established, the elected panel chair will notify the grievant and respondent, setting a time, date, and place for a hearing on the Petition for Redress. The date of the hearing shall be within 42 calendar days of this notification, except when the request for a hearing is received during summer months, official university breaks and holidays, and when, despite reasonable efforts, the Grievance Panel cannot be assembled (The UNC Policy Manual 101.3.3). Scheduling an appeal panel during the summer months is complicated by the absence of many faculty and different schedules of those available. If the panel cannot schedule a hearing during the summer, a fall hearing date will be scheduled as soon as possible after the fall organizational meeting of the Appellate Committee.
   
   If either the grievant or the respondent petitions the panel in writing for a postponement of the hearing for health reasons, or due to a serious personal emergency, the panel chair shall postpone the meeting for a period of time appropriate to the circumstances. If either the grievant or respondent petitions the panel for a postponement of the hearing for reasons other than health or serious personal emergency, the panel chair shall determine whether it is the general agreement of the committee to postpone the hearing for good cause until the next possible scheduled date.
   
   The notice of hearing will request that both parties submit to the panel the names of their counselors, and all information and documents they intend to introduce at the hearing to support or defend their respective positions. Such information and documents may include written materials, sound or video recordings, photographs, or other forms of information or documentation approved by the panel. The grievant’s submission shall include a list of witnesses with a brief statement of the relevance of each witness, and all information to be used in support of the grievant’s claim(s). The respondent's submission shall include a list of witnesses with a brief statement of the relevance of each witness, and all information to be used to defend against the grievant’s claim(s). The panel may also call other witnesses that it deems relevant to the grievance. A mediator shall not be called as a witness in the hearing of a grievance and no part of the mediation effort (e.g., conversations, offers, proposals, etc.) shall be introduced as evidence.
   
   Ten copies of all information and documents shall be submitted to the Faculty Senate Office no less than 14 calendar days prior to the hearing date. The department or unit of each party to a grievance is responsible for providing reasonable access to photocopy services for hearing documents during the grievance process. These services shall be at no cost to the grievant or respondent; provided, however, a party to the grievance or a unit bearing such costs may petition the panel to limit incurrence of copying costs by a grievant and/or respondent at the point those expenses appear to be extraordinary and grossly excessive, in which case the panel may direct alternative or adjusted means of making the information to be copied available for use in the hearing process. The submitted information and documents shall have a table of contents with numbers (Arabic) assigned to all pages that exhibit information. If the back of a page contains information, it also must be numbered. Numbers shall be preceded by a “G” for the grievant’s submission or an “R” for the respondent’s submission. If more than one grievant or more than one respondent is involved, their designation will be communicated by the panel chair.
   
   Once the copies as described above are received from both parties, the Grievance Panel chair will provide one copy of the grievant’s submission to the respondent, and one copy of the respondent’s submission to the grievant. The panel chair will create an agenda prior to the meeting to ensure that the hearing will be completed within one business day. The agenda will state limits on the amount of time that each party will be allocated for presentation of their cases. This agenda, with names of the panel members and procedures for submission of new documents and handling of the witnesses, will be distributed to the Grievance Panel, the grievant and the respondent no less than 5 calendar days prior to the hearing date.
5. Step Five (The Hearing)
   The Grievance Panel shall limit its investigations to the issues presented in the Petition for Redress and confirmed by the Appellate Steering Committee’s memorandum to the grievant. During the hearing, the panel may explore issues raised by any party to the grievance that are concretely based on issues raised in the Petition for Redress. The panel's responsibility is limited to issuing recommendations based on the information presented as part of Step Four and at the hearing. Except as noted in Part XII, Section II.I.III.D, the authority of the Grievance Panel shall be solely to hear the testimony of the grievant, the respondent, and witnesses.
   
   The panel chair shall preside and be responsible for maintaining order and prompt progression of the hearing process. Except as provided for herein, the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised. When, despite due diligence, circumstances make it necessary to resolve an issue not addressed in these provisions, the panel chair shall have the authority to make a reasonable adjustment or exception that maintains the integrity of the process to the extent possible and consistent with applicable law and policy.
   
   The Grievance Panel chair shall begin the hearing by briefly reviewing the panel's authorization and powers, and the procedures to be followed during the hearing. The chair shall then enter into the hearing record correspondence generated prior to the hearing as the Appellate Committee’s Exhibit C, and information submitted in Step Four by the grievant and the respondent as Exhibits G and R.
   
   The submitted information shall include all information necessary to support or defend the grievance; however, with approval of the Grievance Panel, the grievant, respondent, or a witness may submit additional information during the hearing. All such information must be numbered, with copies to be presented to the opposing party and members of the panel, and shall become part of the formal record of the hearing.
   
   Only the grievant, the respondent, members of the Grievance Panel, and the court reporter shall be present for the duration of the hearing. Witnesses, as noted below, will be present only when giving testimony. It shall be the responsibility of the parties to present their respective cases. The burden is on the grievant to establish, by a preponderance of the evidence, that the grievant’s claims and requested redress are consistent with Faculty Manual Part XII, Section II.I. Preponderance is defined as the greater weight of evidence and its probable truth or accuracy, and not the amount of evidence presented.
   
   The grievant is responsible for presentation of the grievant’s case, including the testimony of witnesses. Panel members may question the grievant, the respondent or witness(es) at any time during the hearing. After each of the grievant’s witnesses has completed their testimony, and has responded to questions from the respondent and to the grievant’s further questions (limited to the subject of the respondent’s questions), the witness will be excused from the hearing unless recalled by the Grievance Panel. At the end of the grievant's presentation, the respondent may question the grievant.
   
   The respondent’s presentation will follow the procedures noted above for presentation of the grievant’s case. When the panel and grievant have no further questions, the grievant is given the opportunity to make a 10-minute final statement, and then a total of 10 minutes is available to the respondent(s) for a final statement.
6. Step Six (Grievance Panel Report) The Grievance Panel’s report shall be based only on facts, documentation, arguments presented at the hearing, and applicable law and University policies. Panel recommendations are to be based on, but are not limited to, the grievant’s requested redress.
   
   Copies of the panel’s report will be available to the grievant and respondent for their retrieval from the Faculty Senate Office. A copy of the panel’s report, a copy of the written record of the hearing proceedings, and a copy of all evidence submitted will be placed in the grievance file, and will be open to the Grievance Panel and all parties to the grievance until the grievance is closed.
   
   If the panel finds that the grievant’s contentions are not supported or makes no recommendations in favor of the grievant, the panel shall submit its report to the grievant, respondent, chair of the faculty, and chancellor. In addition, the chancellor shall receive a transcript of the hearing proceedings and the evidence in the grievance file. The chancellor shall provide a decision in writing to the grievant, respondent, chair of the faculty, and the Grievance Panel within 20 calendar days of receipt of materials from the panel. The decision of the chancellor is final.
   
   If the panel finds that the grievant’s contentions are supported and makes recommendations in favor of the grievant, but, in the opinion of the panel, these recommendations are not within the authority of the respondent to implement, the panel shall submit its report to the grievant, respondent, and chair of the faculty. By memorandum, the panel chair shall inform the chancellor that, in the opinion of the panel, its recommendations are not within the respondent’s authority to implement and request the chancellor make the appropriate adjustments.
   
   If the Grievance Panel finds that some or all the grievant’s contentions are supported and within the authority of the respondent, and the panel makes one or more recommendations in favor of the grievant, the panel shall submit its report to the grievant, respondent, and chair of the faculty. The respondents shall be provided the panel’s report and recommendations along with a copy of the transcript of the hearing proceedings, the evidence in the grievance file, and documents and communications filed by the parties and decision-makers in the proceeding (collectively, the “Record of the Appeal,” which may grow as additional petitions, memoranda and material procedural communications are filed by the parties and decision-makers in the process). Within 20 calendar days of receipt of these materials, the respondent shall communicate, in writing, a response to the panel’s recommendations to the panel chair, grievant and the chair of the faculty. Within 15 calendar days of receipt of the respondent’s response, the grievant will inform the panel chair if the adjustments are satisfactory or not satisfactory. If the adjustments are satisfactory or if the grievant fails to provide timely notice to the panel that the adjustments are not satisfactory, the grievance will be closed.
   
   If the respondent’s adjustments are not satisfactory to the grievant, the grievant may appeal to the chancellor. The grievant shall deliver to the Grievance Panel chair a memorandum addressed to the chancellor explaining in detail the reasons for the appeal. The panel chair shall forward a copy of this memorandum to the respondent and chair of the faculty and shall forward the grievant’s appeal memorandum to the chancellor along with the Grievance Panel report and the full Record of the Appeal described above.
   
   If the grievant appeals to the chancellor, or if the Grievance Panel requests the chancellor to make a recommended adjustment, the chancellor’s decision shall be based on the recommendations of the hearing panel and the Record of the Appeal from the faculty Grievance Panel hearing. The chancellor has the discretion to consult with the panel and/or Appellate Steering Committee before making a decision (The UNC Policy Manual 101.3.2.IV.g). The chancellor will communicate a written decision within 20 calendar days of receipt of appeal materials, with copies to the grievant, respondent, chair of the faculty, and the Grievance Panel chair. The chancellor’s decision shall contain a notice of further appeal rights, if any, and, if the decision is appealable, it shall contain the information in subsection III.G., Step Seven (Appeal to the Board of Trustees) below, and shall be signed by all individuals who contributed to the report.
   
   If the chancellor’s decision does not support the recommendations of the Grievance Panel, the grievant may appeal to the Board of Trustees of ECU in accordance with the procedures in Section III.G. Step Seven (Appeal to the Board of Trustees). The decision of the Board of Trustees is final and may not be appealed to the Board of Governors.
   
   Dissenting Chancellor’s Report
   Should the chancellor disagree with the Grievance Panel’s interpretation that the grievance is within the scope of redress covered by provisions of Part XII, Section II.I of the Faculty Manual, the chancellor shall withhold the decision, and inform the panel, all parties to the grievance, and the chair of the faculty of those areas of disagreement within the required 20 calendar days. The panel chair will then request that the chair of the faculty begin the normal interpretation process as set forth in the Faculty Manual. It is expected that the chair of the faculty will expedite this request. Upon completion of the interpretation process, the panel will make any necessary recommendations. The report will be distributed in accordance with Part XII, Section II.I.III.F., with the grievant’s rights to appeal intact.
7. Step Seven (Appeal to Board of Trustees)
   1. Explanation of decisions that may be appealed.
      1. If the Grievance Panel did not advise an adjustment in favor of the grievant, then the decision of the chancellor is final and may not be appealed.
      2. If the panel found in favor of the grievant, and neither the relevant administrative official nor the chancellor made an adjustment advised by the panel, then the grievant may appeal to the Board of Trustees. The decision of the Board of Trustees is final.
   2. The Board of Trustees may delegate to a designated committee the authority to make procedural decisions and to make final decisions on behalf of the Board concerning appeals of faculty grievances submitted pursuant to Section 607 of The Code of The University of North Carolina.
   3. Timeline for Appeals
      1. A grievant who seeks to appeal the chancellor's disposition of the grievance must file written notice of appeal with the Board of Trustees by submitting such notice to the chancellor, with adequate evidence of delivery (The UNC Policy 101.3.3), within 10 calendar days after receipt of the chancellor's decision. The notice shall contain a brief statement of the basis for the appeal. Unless the Board determines an appeal is not within its jurisdiction or fails to meet the procedural requirements for consideration by the Board, the Board will consider the appeal on a schedule established by the chancellor, subject to any instructions received from the Board chair or from a committee of the Board that has jurisdiction of the subject matter of the grievance. The Board will issue its decision as expeditiously as is practical. If the grievant fails to comply with the schedule established for perfecting and processing the appeal, the Board at its discretion may extend the time for compliance or may dismiss the appeal.
      2. If the chancellor's decision is eligible for appeal, the chancellor's notice of the disposition of a grievant's case must inform the grievant: (1) that a written notice of appeal to the Board of Trustees containing a brief statement of the basis for appeal is required within the 10 calendar day period and, (2) that, after notice of appeal is received in a timely manner, a detailed schedule for the submission of relevant documents will be established. All such notices of decision are to be conveyed to the grievant by a method that produces adequate evidence of delivery (The UNC Policy 101.3.3).
   4. Standard of Review: In order to prevail before the Board of Trustees, the faculty member must demonstrate that the chancellor's decision was erroneous based on a preponderance of the evidence, that it violated applicable federal or state law or university policies or regulations, or that the process used in deciding the grievance was materially flawed.

IV. Grievance Resulting From Non-conferral Of Early Permanent Tenure When The Non-conferral Decision Is Not Concurrent With A Reappointment Decision.

1. Initiation of Hearing Process No later than 25 calendar days of receiving written notice from the vice chancellor of non-conferral of early tenure, a faculty member (hereinafter, the grievant) may initiate the process leading to a hearing before a Faculty Grievance Panel (hereinafter, the panel) by submitting a Petition for Redress to the appellate chair.
   
   Failure to meet the time periods allotted to the grievant constitutes a waiver of the right to a hearing and no further administrative appeals of the non-conferral decision are allowed. Before the expiration of a deadline, however, the faculty member may request an extension, provided the request is made in writing and presented to the appellate chair. The Appellate Steering Committee will make its decision and communicate it to the grievant within 10 calendar days of receiving a
   request for an extension, except under unusual circumstances such as during summer months, official university breaks and holidays and when, despite reasonable efforts, the steering committee cannot be assembled in a timely manner.
   
   A hearing will be granted if the Petition for Redress is timely (above), complete (1, below), and claims an infringement of one or more of the allowable bases (2, below).
   1. The Petition for Redress must include (i) a description that is as complete as possible of the actions or the failures to act which support each specified contention; (ii) the identification of the respondent(s); (iii) an enumeration and description of the information or documents to be used to support the contention (copies of the described documents are to be made a part of the Request for Redress); (iv) the identification of persons who may be willing to provide information in support of the contention; and (v) a brief description of the information those persons identified in (iv) may provide; and (vi) a copy of the vice chancellor’s notice of non-conferral of early permanent tenure.
   2. The request for a hearing must be based on one or more of the following reasons.
      (a) The decision was based on any ground stated to be impermissible in Section 604B of The Code of The University of North Carolina. Specifically, in no event shall a non-conferral decision be based upon (i) the exercise by the faculty member of rights guaranteed by the First Amendment to the United States Constitution, or by Article I of the North Carolina Constitution, or (ii) discrimination prohibited under policies adopted by the ECU Board of Trustees i.e., discrimination based on the faculty member's age, color, creed, disability, genetic information, national origin, political affiliation, race/ethnicity, religion, sex/gender, sexual orientation, or veteran’s status, or (iii) personal malice. The UNC Policy Manual 101.3.1.II.B).
      
      (b) The decision was attended by a "material procedural irregularity," meaning a departure from prescribed procedures and established university policies that is of such significance as to cast reasonable doubt upon the integrity of the original decision. Whether a procedural irregularity occurred, and whether it is material, shall be determined by reference to those procedures in effect when the initial decision was made and communicated. The Appellate Steering Committee shall ask the chancellor to certify what procedures were then in effect if that question is a matter of dispute. (Faculty Senate Resolution #03-49)
      
      Ten copies of Petition for Redress not exceeding 20 pages shall be addressed to the appellate chair and delivered to the Faculty Senate Office. Upon receipt of the grievant’s Petition for Redress the appellate chair shall notify each named respondent that he/she has been named a respondent in a grievance based on the non-conferral of early permanent tenure. Accompanying this letter will be a complete copy of the grievant’s Petition for Redress.
2. Procedures for the Hearing. The appellate chair will convene a Grievance Panel if the Petition for Redress is timely, complete, and based on one or more of the criteria noted above. If the Petition for Redress fails to meet any one of these requirements, the Appellate Steering Committee shall not grant a hearing, the grievance will be closed, and this decision will exhaust the administrative appeals process for the grievance. This decision will be communicated to all parties of the dispute by a method that produces adequate evidence of delivery (The UNC Policy 101.3.3). If the Petition for Redress meets all of the above requirements, but makes claims beyond valid criteria (defined in IV.A.2.a and b above), the Appellate Steering Committee shall strike those issues from the Petition for Redress and these claims will receive no further attention in the process.
   
   Once established, the Grievance Panel shall set the time, date, and place for the hearing. The date for the hearing shall be within 42 calendar days after receipt of the Petition for Redress by the Faculty Senate Office, except when a Petition for Redress is received during summer months, official university breaks and holidays and despite reasonable efforts the panel cannot be assembled.
   
   The panel chair shall notify the grievant, the respondents, the chair of the faculty, and the chancellor, of the time, date, and place of the hearing. This notification shall call attention to any claims made in the Petition for Redress that have been struck and will not be addressed in the hearing. The notification will include the names of all panel members and alternates who may take part in the hearing.
   
   The grievant and respondent are to submit ten copies of all information and documents to be used in the presentation (by the grievant) or in defense against the grievance (by the respondent). The grievant’s and respondent’s information must include: a) the identification of a witness(es) who may be willing to provide information relevant to the grievance; and b) a brief description of the information each witness may provide. This information and documentation shall be submitted to the Faculty Senate Office not later than 14 calendar days prior to the hearing date. One copy of the grievant’s information will be provided to each respondent and one copy of the respondent’s information will be provided to the grievant.
3. The Hearing The Grievance Panel shall limit its investigations to the issues presented in the Petition for Redress, and include only those not struck in the Appellate Steering Committee’s notification that a hearing would be granted. The panel’s responsibility is limited to issuing recommendations based on the Petition for Redress, information and documentation submitted prior to or accepted during the hearing, and information developed during the hearing based on the testimony of the grievant, the respondent, and witnesses.
   
   The panel chair shall begin the hearing by briefly reviewing the panel’s authorization and powers, the conditions necessary for a hearing, the panel’s belief that the issues about to be heard satisfy these conditions, and the procedures to be followed during the hearing. Except as provided for herein, the hearing shall be conducted according to the latest edition of Robert's Rules of Order, Newly Revised.
   
   The Grievance Panel chair shall then enter into the hearing record correspondence (particularly any relevant correspondence from the Appellate Committee and/or panel chair) generated prior to the hearing as the Exhibit C, and information submitted (above) by the grievant and the respondent as Exhibits G and R respectively (Exhibit letter designations are prescribed only for labeling purposes). It is expected that the hearing will be limited to this information; however, with approval of a majority of the panel, the grievant, respondent, or a witness may submit additional information during the hearing. All such information must be numbered, with copies to be presented to the opposing party and members of the panel, and it becomes a part of the formal record of the hearing.
   
   Only the grievant, the respondent, members of the Grievance Panel, and the court reporter shall be present for the duration of the hearing. Others who are witnesses, as noted below, will be present only when giving testimony. It shall be the responsibility of the parties to present their respective cases. The grievant’s case will be evaluated on the basis of the preponderance of the evidence. This means the greater weight of evidence and its probable truth or accuracy, and not the amount of evidence presented.
   
   The grievant is responsible for presentation of the grievant’s case, including the testimony of witnesses. Grievance Panel members may question the grievant, the respondent or witness(es) at any time during the hearing. After each of the grievant’s witnesses has completed testimony, and has responded to questions from the respondent, the panel, and to the grievant’s further questions (limited to the subject of the respondent’s questions), the witness will be excused from the hearing unless recalled by the panel. At the end of the grievant's presentation, the respondent may question the grievant.
   
   The respondent’s presentation will follow the procedures noted above for presentation of the grievant’s case. Panel members may question the grievant, the respondent, or witnesses during the hearing. When the panel and grievant have no further questions, the grievant is given the opportunity to make a 10-minute final statement, and then a total of 10 minutes is available for the respondent’s final statement(s).
4. Grievance Panel Report
   The Grievance Panel’s report shall be based only on facts, documentation, arguments presented at the hearing, and applicable law and University policies. The panel’s recommendations are to be based upon, but are not limited to, the grievant’s requested redress.
   Copies of the Grievance Panel’s report will be available to the grievant and respondent for retrieval from the Faculty Senate Office. A copy of the panel’s report, a copy of the written record of the hearing proceedings, and a copy of all evidence submitted will be placed in the grievance file. This file will be open to the Grievance Panel and all parties to the grievance until the grievance is closed. The panel may make recommendations that a) do not support the grievant’s contentions, b) support the grievant’s contentions and are within the respondent’s authority to implement, or c) support the grievant’s contentions, but are not within the respondent’s authority to implement. The Grievance Panel’s actions for each of these findings are noted below.
   1. Panel Recommendations Do Not Support the Grievant’s Contentions. If the Grievance Panel finds that the grievant’s contentions are not supported or makes no recommendations in favor of the grievant, the panel shall submit its report to the grievant, respondent, chair of the faculty, and chancellor. Within 20 calendar days the chancellor shall, in writing, inform the grievant, respondent, chair of the faculty, and Grievance Panel of a decision. The decision of the chancellor is final and may not be appealed.
   2. Panel Recommendations Support the Grievant’s Contentions and are Within the Respondent’s Authority. If the Grievance Panel finds that the grievant’s contentions are supported and makes recommendations in favor of the grievant, the panel shall submit its report to the grievant, respondent, and chair of the faculty. Within 20 calendar days of the recommendations, the respondent shall, with copies to the grievant and the chair of the faculty, communicate a response to the panel’s recommendation in writing to the Grievance Panel chair. Within 15
      calendar days of receipt of the respondent’s response, the grievant will inform the Grievance Panel chair if the adjustments are satisfactory or not satisfactory. If the respondent’s adjustments are not consistent with the recommendations of the Grievance Panel but are satisfactory to the grievant, the grievance will be closed. If the respondent’s adjustments are not satisfactory to the grievant, the grievant may appeal to the chancellor. The process for an appeal to the chancellor is described below.
   3. Panel Recommendations Support the Grievant’s Contentions, but are not Within the Respondent’s Authority to Implement.
      If the Grievance Panel finds that the grievant’s contentions are supported and makes recommendations in favor of the grievant, but, in the opinion of the panel, these recommendations are not within the authority of the respondent to implement, the panel shall submit its report to the grievant, respondent, and chair of the faculty. By memorandum, the Grievance Panel chair shall inform the chancellor that, in the opinion of the panel, its recommendations are not within the respondent’s authority to implement and request the chancellor to make the appropriate adjustments.
      
      The Grievance Panel chair shall forward to the chancellor a record of the hearing and copies of all documents submitted during the grievance process.
      
      The chancellor’s decision is to be based solely on a thorough review of the information provided by the Grievance Panel. The chancellor has the discretion to consult with the Grievance Panel (The UNC Policy Manual 101.3.2.IV.g) and individuals with the delegated authority to implement the panel’s recommendations. It is expected that the chancellor will give deference to the advice of the faculty panel, but the final campus-based decision lies with the chancellor. Within 30 calendar days of receipt of the panel’s request, the chancellor will inform the grievant, respondent, Grievance Panel chair, and chair of the faculty of a decision. If the chancellor does not support the panel’s recommendation, the chancellor will inform the grievant that the decision may be appealed to the Board of Trustees. This appeal process is described in Section IV.G. The decision of the Board of Trustees is final and may not be appealed to the Board of Governors.
5. Dissenting Chancellor’s Report Should the chancellor disagree with the Grievance Panel’s interpretation that the grievance is within the scope of redress covered by provisions of Part XII, Section II.I of the ECU Faculty Manual, UNC Code or Policies, the chancellor shall withhold a decision and inform the Grievance Panel, all parties to the grievance, and the chair of the faculty of those areas of disagreement within 30 calendar days. The Grievance Panel chair will then request the chair of the faculty begin the normal interpretation process as set forth in the Faculty Manual. It is expected that the chair of the faculty will expedite this request. Upon completion of the interpretation process, the Grievance Panel will make any necessary recommendations. The report will be distributed in accordance with Part XII, Section II.I.III.F., with the grievant’s rights to appeal intact.
6. Appeals to the Chancellor
   If the respondent’s adjustments are deemed unsatisfactory by the grievant, an appeal to the chancellor is to be made within 20 calendar days of the receipt of the response. The grievant shall deliver to the Grievance panel chair a memorandum to the chancellor explaining in detail the reasons for the appeal. The panel chair shall forward a copy of this memorandum to the respondent and chair of the faculty, and shall forward the grievant’s appeal memorandum to the chancellor along with the Grievance Panel report and all supporting documentation.
   
   The chancellor’s decision is to be based solely on a thorough review of the information provided by the Grievance Panel and may, at the chancellor’s discretion, include consultation with the panel (The UNC Policy Manual 101.3.2.IV.g ). It is expected that the chancellor will give deference to the advice of the faculty panel, but the final campus-based decision lies with the chancellor.
   Within 30 calendar days of receipt of the grievant’s appeal and Grievance Panel’s recommendations, the chancellor will provide a decision to the grievant, respondent, panel chair and chair of the faculty. If the chancellor does not support the panel’s recommendation, the chancellor will inform the grievant of the provisions for appeal to the Board of Trustees.
7. Appeal to the Board of Trustees
   This appeal shall be transmitted through the chancellor and shall be addressed to the chair of the Board. Notice of appeal shall be filed within 14 calendar 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 designated committee shall consider the appeal on the written transcript of the hearing held by the Grievance Panel (including evidence admitted in connection with the hearing), but it may, at its discretion, accept and consider such other evidence as it deems necessary, with the opportunity for rebuttal. 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 Trustees. The decision of the Board of Trustees is final and shall end the University’s appeal process.

SECTION II.II, Grievance Procedures Related to Complaints of Unlawful or Prohibited Harassment, Discrimination or Improper Relationships Brought Against East Carolina University Faculty Members or Administrators Holding Faculty Status

CONTENTS

1. Preamble
2. Grievance Procedures

I. Preamble

1. Federal and state laws and/or university policies prohibits unlawful discrimination based on the following protected classes: race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status (including relationship or association with a protected veteran; or Active Duty or National Guard service). East Carolina University establishes formal procedures to assure individuals who believe that they are the victims of unlawful or prohibited harassment, discrimination, or improper relationships that their grievances will be dealt with fairly and effectively.
   
   The East Carolina University Faculty Manual (Part XII) is subject to university policies governing nondiscrimination, sexual and gender-based harassment and other forms of interpersonal violence at East Carolina University, which are available through the Equal Opportunity & Title IX section of the Department for People Operations, Success, and Opportunity (POSO).
2. Unlawful or prohibited harassment, discrimination, or improper relationships violate East Carolina University’s policies and will not be tolerated. Members of the University community are encouraged to express freely, responsibly, and in an orderly way their opinions and feelings about any problem or complaint of unlawful or prohibited harassment, discrimination or improper relationships prohibited under the policies of East Carolina University. The University will take every reasonable step to resolve grievances promptly and confidentially.
3. Any act by a University employee or student of retaliation, interference, restraint, penalty, discrimination, coercion, reprisal, intimidation, threats, or harassment against an employee or student for using the applicable policies responsibly interferes with free expression and openness and violates University policy. Accordingly, members of the University community are prohibited from acts of reprisal and/or retaliation against those who file complaints, are involved as witnesses, or otherwise try to use University policies responsibly.
4. When complaints of harassment, discrimination, or improper relationships have been substantiated, the appropriate vice chancellor or the chancellor may take such disciplinary action as they deem appropriate, including discharge from employment, suspension, or reduction in rank in a manner that is consistent with the policies and procedures stated in the ECU Faculty Manual.
   

II. Grievance Procedures

1. Faculty subject to administrative sanction(s) for violations of University policies on harassment, discrimination or improper relationships have the right to due process through appropriate appeals procedures, based on the type of sanction imposed. Faculty not subject to administrative sanction(s) based on an investigation, but who believe the process has contributed to a hostile work environment, or that they otherwise have been harmed by the investigation, have the right to redress of specific findings or actions as allowed under provisions for general grievances covered in Part XII, Section II.I of this Faculty Manual (Policies and Procedures for General Faculty Grievances and for Appeals of Non-conferral of Early Tenure). These rights apply to both the faculty complainants and faculty respondents in the original complaint brought on harassment, discrimination or improper relationship.
2. When disciplinary actions, if any, do not include a serious sanction, a faculty member may appeal minor sanctions, reprimands, or seek other redress through provisions governing general grievances contained in Part XII, Section II.I (this section) of the Faculty Manual.
3. Disciplinary actions that include a serious sanction may be appealed following provisions in Part XII, Section I.III of this Faculty Manual (Due Process Before Discharge or the Imposition of Serious Sanctions). Alleging that one or more specified provisions of The UNC Code have been violated in the imposition of a serious sanction, a faculty member may further appeal a Board of Trustees decision to the Board of Governors. Note that The UNC Code, Section 603 warns that if, within 14 calendar days after receiving the notice of a serious sanction, the faculty member makes no written request for appeal, the faculty member may be discharged or serious sanction imposed without recourse to any institutional grievance or appellate procedure.
4. Appeals of specific findings, either positive or negative, of an investigation of complaints of unlawful or prohibited discrimination, harassment or improper relationship may be available under specific university policies. Current information on university policies governing these areas is available at the Department for People Operations, Success, and Opportunity (POSO).

SECTION II.III, Effective Date

1. Except as otherwise provided below, these provisions shall become operative immediately after they are approved by the President of the University of North Carolina, and are enabled by approved revisions of the Bylaws of the East Carolina University Faculty Senate.
2. Provisions governing establishment of appellate hearing panels will become operative only after the establishment and initial fall organizational meeting of an Appellate Committee, as specified in the revised Bylaws of the East Carolina University Faculty Senate. The Appellate Committee shall be elected at the first April organizational meeting of the ECU Faculty Senate following the date of final approval of both the revised Part XII of the Faculty Manual, and the Bylaws of the Faculty Senate.
3. These provisions as amended shall apply to those appeals initiated after the effective dates indicated in parts A and B above. Appeals for which procedures for a hearing have been initiated before these provisions become operative will continue under the previous Faculty Manual provisions governing the type of appeal involved.
4. If secure electronic platforms for handling grievances become available, requirements for delivery, distribution and resolution of grievance materials may be modified accordingly through recommendation by the Faculty Senate and approval by the chancellor.

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Faculty Senate Resolution #12-17, February 2012, Chancellor
Faculty Senate Resolution #14-32, April 2014, Chancellor
Faculty Senate Resolution #19-69, April 2021
Faculty Senate Resolution #19-70, April 2021
Faculty Senate Resolution #25-14, March 2025