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

Updated: September 30, 2024

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

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.

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.

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)