Part VIII: Part VIII. Personnel Policies and Procedures for Faculty

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

Last updated:
January 26, 2024

<h2 class="wp-block-heading">CONTENTS</h2>   <ol style="list-style-type:upper-roman" class="wp-block-list"> <li><a href="#Selection-and-Appointment-of-New-Faculty">Selection and Appointment of New Faculty</a> <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Determination of Number and Nature of Positions</li>   <li>Selection Procedure</li>   <li>General Criteria</li>   <li>Requirements for ranks and titles</li>   <li>Initial Appointment</li> </ol> </li>   <li><a href="#Assignments-of-Faculty-Workload">Faculty Workload and Annual Work Plan</a> <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Teaching</li>   <li>Research/Creative Activity</li>   <li>Service</li>   <li>Patient Care and Related Clinical Responsibilities</li> </ol> </li>   <li><a href="#Annual-Evaluation">Annual Evaluation</a> </li>   <li><a href="#FacultySuccess">Faculty Success Plan</a></li>   <li><a href="#Reappointment-of-Probationary-Term-Faculty-Members">Reappointment of Probationary Term Faculty Members</a></li>   <li><a href="#Subsequent-appointments-of-Fixed-Term-Faculty-Members">Subsequent New Appointments of Fixed-Term Faculty Members</a></li>   <li><a href="#Professional-Advancement">Professional Advancement</a></li>   <li><a href="#Salary">Salary</a> <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Initial Salary</li>   <li>Determination of Annual Salary Increments</li>   <li>Benefits and Salary Increases for Fixed-Term Faculty</li> </ol> </li>   <li><a href="#Faculty-Personnel-Files">Faculty Personnel Files</a></li>   <li><a href="#Amendment-Procedure">Amendment Procedure</a></li>   <li><a href="#Effective-Date">Effective Date</a></li> </ol>   <hr class="wp-block-separator has-alpha-channel-opacity" />   <h3 class="wp-block-heading" id="Selection-and-Appointment-of-New-Faculty">I. Selection and Appointment of New Faculty</h3>   <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Determination of Number and Nature of Positions Since faculty members of each academic unit are responsible for the curriculum, they shall make recommendations on the personnel needs of the unit. All faculty appointments shall be initiated by a recommendation of the Unit Personnel Committee unless otherwise specified in the Unit Code (FS Resolution #20-57, November 2020). Acting in accord with the policies and procedures set forth in the Unit Code, the unit administrator shall recommend, with input from the faculty, to the next higher administrator (for conveyance to the Academic Council) the number and nature of faculty positions needed to carry out the unit’s mission and achieve the university, division, college and unit planning goals. Such recommendations shall contain justifications addressing the unit staffing plan and appropriate planning goals of the university, division, college, and unit. Allocation of faculty positions is the prerogative of the Academic Council. The deans and directors shall determine the distribution of positions within their college and schools in accordance with strategic priorities. The system of academic tenure serves the interests of East Carolina University by safeguarding academic freedom and ensuring the open inquiry and expression that are essential for student learning and the advancement of knowledge. As such, tenured and probationary term (tenure-track) positions are preferred unless sound reasons exist for fixed-term appointments. Such reasons include, but are not limited to; (a) the position is not permanently assigned to the unit, (b) the position is addressing temporary needs, (c) the position cannot be filled by a faculty member with a terminal degree, (d) the duties of the position are primarily clinical, (e) the position is by its nature term-limited (term-limited endowed professorships, for example), (f) this reflects the preference of the faculty member taking the position, or (g) budgetary or strategic considerations.</li>   <li>Selection Procedure The selection of candidates must be conducted in accordance with the University’s “Recruitment, Guidelines and Resources” policies, Part IX, Section I. Appointment, Tenure, Promotion, Subsequent Appointment and Advancement Policies and Procedures, and applicable unit code provisions.</li>   <li>General Criteria ECU is committed to recruiting, retaining, and developing faculty members that are highly accomplished in teaching and scholarship, including research and creative activities, clinical and patient care responsibilities, and in librarianship when appropriate. ECU defines faculty responsibilities as follows: <ol style="list-style-type:lower-alpha" class="wp-block-list"> <li>Teaching East Carolina University recognizes the primary importance of teaching. East Carolina University expects each member of the faculty to have knowledge of subject matter commensurate with one's teaching assignment, to maintain awareness of developments in one's discipline, and to communicate to students one's knowledge of and interest in the discipline. The faculty member will encourage students in responsible and careful inquiry, in appreciation of the interrelation of various disciplines, and in recognition of the uses of learning and the value of the educated mind. Teaching includes instructional activities and responsibilities beyond the classroom setting, e.g., advisement; mentoring; laboratory supervision; clinical rounds by a physician/professor accompanied by students; program direction; the direction of research projects and papers, dissertations, and theses; and other contacts and relationships outside the classroom.</li>   <li>Scholarship Scholarship refers to the scholarship of research, the scholarship of creative activity/innovation, and the scholarship of engagement and/or outreach. All tenured and probationary (tenure-track) faculty members are expected to engage in research and creative activities that align with the institution’s mission, and strengthen the academic programs and disciplines.</li>   <li>Service to the university, the profession, and the community East Carolina University considers service to the university, the academic profession, and the community as an important aspect of a faculty member’s contribution. Expectations for service shall be described in the unit code. (See Section III.4). Faculty members’ on-campus presence is expected to the extent necessary in the performance of these responsibilities.</li>   <li>Patient care and related clinical responsibilities, as appropriate.</li>   <li>Librarianship in support of the academic mission of the University, as appropriate.</li> </ol> </li> </ol>   <ol class="wp-block-list"> <li>Tenured or Probationary-Term Positions A candidate who is under consideration for a tenured or probationary-term position is evaluated on past achievements and potential for future contributions in teaching, scholarship, service, and, if applicable, contributions to patient care and related clinical responsibilities.</li>   <li>Fixed-Term Positions A candidate who is under consideration for a fixed-term position is evaluated on past achievements and potential for future contributions in the areas of responsibility stated in the advertisement for the position and established in the unit code. In cases where the position fulfills an ongoing unit need, adequate funding exists, and the candidate has demonstrated professional achievement, a multi-year contract should be considered.</li> </ol>   <ol start="4" style="list-style-type:upper-alpha" class="wp-block-list"> <li>Requirements for ranks and titles <ol class="wp-block-list"> <li>General Provisions Appointments are made at the academic ranks of assistant professor, associate professor, and professor. These are the only ranks that may involve a permanent tenure commitment. Appointments to all other titles are for a definite term and do not involve a permanent tenure commitment. The following are the minimum required qualifications that may be considered when making appointments.</li>   <li>Ranks of Probationary Term Appointments <ul class="wp-block-list"> <li>Assistant Professor <ul class="wp-block-list"> <li>has demonstrated potential for effective teaching and other instructional responsibilities</li>   <li>has demonstrated potential to develop a program of scholarship that will lead to professional recognition in the discipline</li>   <li>has demonstrated effective clinical practice in disciplines, where appropriate</li>   <li>holds the appropriate terminal degree (ABD may be considered for initial appointment) or alternate professional qualifications as determined by the units and the profession and affirmed by the appropriate vice chancellor</li>   <li>exhibits evidence of potential for professional growth in teaching effectiveness and scholarship</li>   <li>has demonstrated ability and willingness to participate in departmental, college, and university affairs</li>   <li>has demonstrated active engagement with professional organizations within the discipline</li> </ul> </li>   <li>Associate Professor <ul class="wp-block-list"> <li>has qualifications of the previous rank</li>   <li>has demonstrated effectiveness in teaching and/or other instructional responsibilities</li>   <li>has a record of scholarship resulting in publication and/or scholarly productivity appropriate to the discipline and established by the unit code</li>   <li>has a demonstrated record of effective service/clinical practice to the university</li>   <li>has a demonstrated record of effective service to the profession</li> </ul> </li>   <li>Professor <ul class="wp-block-list"> <li>has qualifications of the previous rank</li>   <li>has an established record of excellence in teaching and other instructional responsibilities</li>   <li>has a significant record of scholarship resulting in publication and/or other scholarly productivity appropriate to the discipline and established in the unit code.</li>   <li>has demonstrated excellent ability and willingness to participate in departmental, college, and university affairs</li>   <li>has a demonstrated record of significant service/clinical practice to the university and the discipline, where appropriate </li> </ul> </li> </ul> </li>   <li>Titles of Fixed-Term Appointments Initial appointment as a fixed-term faculty member may be at any title and is dependent upon the individual’s qualifications. A faculty member may elect but is not required to seek advancement in title during their career at East Carolina University. <ol style="list-style-type:lower-alpha" class="wp-block-list"> <li>Faculty members with duties primarily in instruction. Teaching Faculty support the academic mission of the University through instruction, advising, curriculum development, and other instructional activities. Teaching Faculty may engage in research and service activities if desired. Research and service activities should be stipulated in their appointment letter and unit workload assignment. <ul class="wp-block-list"> <li>Teaching Instructor <ul class="wp-block-list"> <li>holds, at a minimum, a master’s degree appropriate to the area of instruction, or has equivalent professional qualifications</li>   <li>has demonstrated potential for effective teaching and/or other instructional responsibilities Appointment to the title of Teaching Instructor may be made for a fixed term of up to three years.</li> </ul> </li>   <li>Senior Teaching Instructor This title is normally appropriate for a Teaching Instructor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has consistently demonstrated effective teaching and/or other instructional responsibilities</li>   <li>engages in professional development or professional service activities In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li>   <li>Master Teaching Instructor This title is normally appropriate for a Senior Teaching Instructor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>Has demonstrated excellence in teaching</li>   <li>Has established an excellent professional reputation among colleagues</li>   <li>Is qualified and competent in mentoring others (such as students, instructors, etc.) In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li>   <li>Teaching Assistant Professor <ul class="wp-block-list"> <li>holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned</li>   <li>has demonstrated effectiveness in teaching Appointment to the title of Teaching Assistant Professor may be made for a fixed-term of up to three years.</li> </ul> </li>   <li>Teaching Associate Professor This title is normally appropriate for a Teaching Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has consistently demonstrated effective teaching and/or other instructional responsibilities</li>   <li>engages in professional development or professional service activities In recognition of the ongoing record of achievement represented by this title, appointment will typically be of three to five years.</li> </ul> </li>   <li>Teaching Professor This title is normally appropriate for a Teaching Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has demonstrated excellence in teaching</li>   <li>has established an excellent professional reputation among colleagues</li>   <li>is qualified and competent in mentoring others (such as graduate students, teaching instructors, etc.) In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered. </li> </ul> </li> </ul> </li>   <li>Faculty members with duties primarily in research Research Faculty contribute to the mission of the University primarily by engaging in scholarly or creative activity and/or supporting grants and contracts. Associated instructional responsibilities will be at the discretion of the unit and dependent upon the availability of funds. Research Faculty members are typically funded externally. <ul class="wp-block-list"> <li>Research Instructor <ul class="wp-block-list"> <li>holds a minimum of a master’s degree appropriate for the specific position or has equivalent professional qualifications.</li>   <li>has demonstrated potential for effective scholarly or creative endeavors</li> </ul> </li>   <li>Research Assistant Professor <ul class="wp-block-list"> <li>holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned</li>   <li>has demonstrated effectiveness in research and/or in other scholarly or creative endeavors</li> </ul> </li>   <li>Research Associate Professor <ul class="wp-block-list"> <li>has qualifications of the previous title or equivalent professional qualifications</li>   <li>has extensive successful experience in scholarly or creative endeavors</li>   <li>engages in professional development or professional service activities</li> </ul> </li>   <li>Research Professor <ul class="wp-block-list"> <li>has qualifications of the previous title or equivalent professional qualifications</li>   <li>has demonstrated excellence in scholarly production in research, publications, professional achievements, or other distinguished and creative activity</li>   <li>has established an excellent reputation among colleagues</li>   <li>has attained national or international recognition as an authority and leader in an area of specialization</li>   <li>has a sustained and substantive record of scholarship/creative activity</li> </ul> </li> </ul> </li>   <li>Faculty members with duties primarily in clinical teaching Clinical Faculty engage in professional practice or service activities that support the teaching and/or supervision of students in academic, clinical or field settings. <ul class="wp-block-list"> <li>Clinical Instructor <ul class="wp-block-list"> <li>holds, at a minimum, a graduate degree appropriate for the specific position or has equivalent professional qualifications</li>   <li>has demonstrated potential in clinical practice and teaching in the field Appointment to the title of Clinical Instructor may be made for a fixed term of up to three years.</li> </ul> </li>   <li>Clinical Assistant Professor <ul class="wp-block-list"> <li>holds the appropriate professional degree, or equivalent professional qualifications as determined by the academic unit, the appropriate vice chancellor and the profession concerned</li>   <li>has training and experience in an area of specialization</li>   <li>has demonstrated expertise in clinical practice and teaching and other instructional responsibilities in the discipline Appointment to the title of Clinical Assistant Professor may be made for a fixed term of up to three years.</li> </ul> </li>   <li>Clinical Associate Professor This title is normally appropriate for a Clinical Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has demonstrated extensive successful experience in clinical or professional practice in an area of specialization, or in a subdivision of the specialty area, and in working with and/or directing others (such as professionals, faculty members, graduate students, etc.) in clinical activities in the field In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li>   <li>Clinical Professor This title is normally appropriate for a Clinical Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has established an outstanding reputation of excellence in clinical practice and teaching and/or other instructional responsibilities</li>   <li>has established an excellent professional reputation among colleagues In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li> </ul> </li>   <li>Faculty members with duties primarily in the libraries Library Faculty support the academic mission of the University through effective librarianship and where appropriate by engaging in instruction, research/creative activity, and service in support of the ECU Libraries and the profession. <ul class="wp-block-list"> <li>Library Assistant Professor <ul class="wp-block-list"> <li>holds the appropriate terminal degree, or equivalent professional qualifications, as determined by the academic unit, the appropriate vice chancellor and the profession concerned</li>   <li>has demonstrated evidence of, or potential for, the following: effective teaching and/or other professional responsibilities; service to the Library; service to the University, and/or to the profession; a record of contributions to scholarship/creative activity, if applicable Appointment to the title of Library Assistant Professor may be made for a period of up to five years.</li> </ul> </li>   <li>Library Associate Professor This title is normally appropriate for a Library Assistant Professor who has a minimum of three consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has demonstrated: substantive accomplishments in the performance of professional duties; collegiality and professional integrity; substantial and continued professional growth, and sustained institutional and professional service</li>   <li>has a record of regular contributions to scholarship/creative activity In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li>   <li>Library Professor This title is normally appropriate for a Library Associate Professor who has a minimum of six consecutive years of full-time service in that title or has equivalent professional qualifications and has met the following criteria: <ul class="wp-block-list"> <li>has qualifications of the previous title</li>   <li>has demonstrated: sustained and substantive accomplishments in professional performance</li>   <li>has demonstrated: superior knowledge and mastery of assigned area of specialization; and exemplary institutional and professional service;</li>   <li>has attained national or international recognition as an authority and leader in the assigned area of specialization;</li>   <li>has a sustained and substantive record of scholarship/creative activity In recognition of the ongoing record of excellence represented by this title, an appointment of up to five years should be considered.</li> </ul> </li> </ul> </li>   <li>Additional faculty titles Adjunct Instructor; Adjunct Assistant Professor; Adjunct Associate Professor; Adjunct Professor: These titles are used to appoint outstanding persons who have a primary employment responsibility outside the university or in a different department in the university and who bring some specific professional expertise to the academic program. These positions are typically unfunded. Affiliate Instructor; Affiliate Assistant Professor; Affiliate Associate Professor; Affiliate Professor: These titles are used in the to appoint outstanding persons who have a primary employment responsibility outside the university and who bring some specific professional expertise to the academic program. Affiliate appointments are for a limited term and are typically unfunded. Artist-in-Residence; Writer-in-Residence: These titles are used to designate temporary appointments, at any salary and experience level, of persons who are serving for a limited time or part-time and who are not intended to be considered for professorial appointment. Visiting Instructor; Visiting Assistant Professor; Visiting Associate Professor; Visiting Professor. The prefix “visiting” before an academic title is used to designate a short-term full-time or part-time appointment without tenure. Therefore, the visiting title shall not be used for periods of time beyond the initial contract period. It shall be used only for those fixed-term faculty members who are visitors, temporary replacements, or for whose disciplines the institution in good faith expects to have only a short-term need. Use of the visiting title for an individual for more than 3 years is a misuse of this title.</li> </ol> </li>   <li>Emeritus status All unit codes must specify criteria for conferring of “emeritus” or “emerita” status. Based on those criteria specified in the unit code and the recommendations of the unit personnel committee and appropriate administrators, the Chancellor may confer the title emeritus or emerita upon a faculty member who has made a significant contribution to the university through a long and distinguished record of scholarship, teaching, and/or service, and who is a) retired (including Phased Retirement participant), b) permanently disabled, or c) deceased.</li> </ol> </li>   <li>Initial Appointment [For additional provisions related to initial faculty appointments, see East Carolina University Faculty Manual, Part IX, Section I (II).] Appointment to the faculty is made by the Chancellor or the Chancellor’s designee. Upon receiving recommendations by appropriate unit committees and administrators, the Chancellor or their designee shall issue an appointment letter to the faculty candidate. No offer is binding and no appointment is effective until signed by the Chancellor or the Chancellor’s designee and subsequently signed by the faculty appointee. The appointment letter shall specify, at minimum: rank or title; salary rate; length of appointment, tenure status [either fixed-term, probationary-term, or appointment with permanent tenure, as defined in the Faculty Manual, Part IX]; initial assignments and/or responsibilities; reference to the criteria for evaluation of faculty performance, as provided in Part IX, unit codes, and other appropriate documents; and any specific terms and conditions of employment. Any action conferring permanent tenure with the initial faculty appointment requires approval of the Board of Trustees.</li> </ol>   <h3 class="wp-block-heading" id="Assignments-of-Faculty-Workload">II. Faculty Workload and Annual Work Plan</h3>   Faculty workload is governed by <a href="https://www.northcarolina.edu/apps/policy/doc.php?type=pdf&id=185" target="_blank" rel="noreferrer noopener">Section 400.3.4</a> of the UNC Policy Manual, titled "Policy on Faculty Workload" and <a href="https://policy.ecu.edu/02/07/06" target="_blank" rel="noreferrer noopener">ECU POL02.07.06</a>.   Full-time (1.0 FTE) faculty members who are appointed for longer than one year including those serving in administrative roles, will develop an annual work plan for the coming academic year in collaboration with their unit administrator. For purposes of this process, the unit administrator is the department chair or director.   Each work plan should account for 1.0 FTE through assigned duties in teaching, research/creative activity, service, administrative, and or patient care and related clinical responsibilities, as appropriate. In addition, the plan should align with the needs of the unit, college, school, or university, and the missions of the unit and university.   The process for determining the relative weight given to teaching, service, and where appropriate, research/creative activity and/or patient care and clinical responsibilities shall be contained in unit Faculty Workload Guidelines (see East Carolina University Faculty Manual, Part IV, Section II, Subsection VI).   The work plan should include (1) the percentage of the workload that will be dedicated to teaching, research/creative activity, service, and/or patient care and clinical responsibilities, totaling one hundred percent; and (2) anticipated outputs a faculty member is expected to complete in the coming academic year, with a clear linkage towards long-term evaluation and facilitation of career progression (e.g. reappointment, tenure, promotion, post-tenure review, subsequent appointment, advancement in title).   Some activities may be reasonably included in different categories. For example, service on a thesis committee may be reasonably be either "service" or "teaching" depending on the role the faculty member plays; mentoring may be reasonably be captured as "teaching," "research/creative activity," or "service" depending on the contexts.   The work plan shall:   <ul class="wp-block-list"> <li>be in writing;</li>   <li>be developed in collaboration and discussed between the faculty member and the unit administrator before being sent to another administrator or placed in the faculty member's personnel file; in the case of faculty members with probationary term appointments, a record of this discussion shall be placed in the faculty member's personnel file;</li>   <li>be signed and dated by the unit administrator and the faculty member.</li> </ul>   The unit administrator shall forward to each faculty member a copy of that member's work plan within ten calendar days of completing the work plans of unit members.   The faculty member has seven working days after receiving the work plan to attach a statement.   If the faculty member agrees with the plan, the plan will be sent to the next higher administrator for approval.   In the case that the unit administrator and the faculty member disagree on the work plan, the faculty member may propose their own plan. If no compromise can be reached, the unit administrator shall provide copies of both plans to the next higher administrator, who after reviewing both plans shall decide on the faculty's work plan. The decision shall be reported in writing to the unit administrator and the faculty member.   If during the course of the next academic year there is a need to change the faculty work plan, a new work plan will be created according to the process outlined above.   <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Teaching As teaching and instruction are the primary mission of the university, teaching shall serve as the first component of determining faculty workload expectations. The unit administrator works with the faculty member in determining the teaching responsibilities and the method of delivery. If changes in a faculty member's assignment subsequently become necessary, the faculty member shall be notified at the earliest possible opportunity and any necessary amendments to the work plan should be documented in writing according to the process outlined above. In general, a teaching load of 24 credit hours or contact hours equivalents per year, along with other routine teaching-related duties constitutes a full workload and a 1.0 FTE appointment. The definition of a semester credit hour is governed by <a href="https://policy.ecu.edu/020701/" target="_blank" rel="noreferrer noopener">PRR #02.07.01</a>. Faculty members holding additional responsibilities for research/creative activity, administrative duties, service, and/or patient care and clinical responsibilities as identified in their annual work plan can have their teaching workload adjusted on a commensurate basis in line with unit standards. If exceptional circumstances require that a faculty member be assigned more than the equivalent of 12 credit hours in a semester, they should be appropriately compensated for the excess teaching load during that term or be given the equivalent reduced teaching load at a time to be negotiated between the unit administrator and the faculty member. If neither of those options is feasible, a unit administrator should credit the faculty member in the appropriate category of their annual evaluation. Consistent with Part VI, Section I.II., faculty members teaching one or more courses must maintain five hours of office hours during the workweek. The means by which the faculty member holds office hours must be appropriate to the delivery mode of their courses. </li>   <li>Research/Creative Activity Research/creative activity supports the institution's mission, and as such should be identified in the annual work plan of faculty who engage in research/creative activity, and the teaching portion of their workload should be adjusted on a commensurate basis in line with unit standards. Faculty shall engage in research/creative activity that reflects the high professional standards incumbent upon those who enjoy full academic freedom; such activities must be measured by standards of quality, not merely by quantity, as appropriate to the discipline. Faculty members shall fulfill their scholarly responsibilities as outlined in the unit code and consistent with their work plan.</li>   <li>Service Service is central to the mission of ECU, and as such, faculty members are expected to serve in a range of service roles int eh department/program, the college, the university, the profession and/or the community in consultation with their unit administrator. These roles may include formal service in committees, mentoring students or colleagues, etc.. Faculty members are expected to actively participate in the life of their unit, be physically present on campus to the extent necessary to discharge their particular service duties, and to carry their assigned and assumed duties necessary for the effective and equitable operation of the unit. Faculty members engaged in extraordinary service, according to their unit standards, should have the teaching portion of their workload adjusted on a commensurate basis.</li>   <li>Patient Care and Related Clinical Responsibilities, as appropriate Standards are described in the unit code. </li> </ol>   <h3 class="wp-block-heading" id="Annual-Evaluation">III. Annual Evaluation</h3>   Each faculty member with a probationary term, permanently tenured, or fixed-term appointment shall perform their duties according to ECU’s<a href="https://facultysenate.ecu.edu/manual/part5-section2/"> Statement on Professional Ethics</a> and shall receive annually an evaluation of their performance from the unit administrator. The annual evaluation of a faculty member performance shall employ the criteria outlined in the unit code. A faculty success plan, as described below, is required for a faculty member whose performance does not satisfy expectations. Exclusive of administrative duties, in no case shall service be weighed more heavily than either teaching, research/creative activity, or patient care and related clinical responsibilities (if applicable).   The annual evaluation shall be a review of the faculty member's previous work plan if one is required. The annual evaluation shall include ratings and summarize the faculty member's performance in each category of responsibility as "exceeds expectations," "meets expectations," or "does not meet expectations," and shall conclude with an overall rating.   This annual evaluation shall:   <ul class="wp-block-list"> <li>be in writing;</li>   <li>be discussed with the faculty member prior to being sent to any other administrator or placed in the faculty member's personnel file; in the case of faculty members with probationary term appointments, a record of this discussion shall be placed in the faculty member's personnel file;</li>   <li>be signed and dated by the unit administrator and the faculty member, who may attach to the evaluation a concise comment regarding the evaluation. The faculty member has seven working days after receiving the evaluation to attach the statement. The signature of the faculty member signifies that they have read the evaluation, but it does not necessarily indicate concurrence.</li> </ul>   The unit administrator shall forward to each faculty member a copy of that member's annual evaluation within ten calendar days of completing the evaluations of unit members.   In accordance with <a href="https://www.northcarolina.edu/apps/policy/doc.php?type=pdf&id=147" target="_blank" rel="noreferrer noopener">UNC Policy Manual and Code Chapter VI, 100.1 (Academic Freedom and Tenure within the University of North Carolina)</a>, the University of North Carolina System supports and encourages freedom of inquiry for faculty members, to the end that they may responsibly pursue these goals through teaching, learning, research, discussion, and publication, free from internal or external restraints that would unreasonably restrict their academic endeavors. Therefore, the annual evaluation shall consider, as appropriate:   <ol class="wp-block-list"> <li>Teaching Teaching is the primary function of the university. Teaching includes instruction in the classroom, laboratory, clinic, studio, online, or abroad; student advising, mentoring student research, directing students in co-curricular activities, supervision of students, and other pedagogical activities. Unit codes should define these criteria, and relative importance, in detail. Teaching effectiveness shall be assessed using multiple inputs during the period under review. At the minimum, the inputs shall consist of: (1) student feedback, and (2) self-assessment. Peer assessment of teaching is also mandatory in instances described in Faculty Senate resolution #24-52. <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Student Feedback. Student feedback includes but is not limited to: <ol class="wp-block-list"> <li>University-approved student evaluations of the course and instructor from the prior academic year's spring and summer semester and the current academic year's fall semester</li>   <li>Other student feedback enabled by the unit code.</li> </ol> </li>   <li>Self Assessment. Self-assessment must include a summative review of the faculty member's teaching during the period under review and shall identify future formative strategies to continue developing skill in teaching. </li>   <li>Peer assessment is a mandatory part of evaluation of teaching as detailed in Faculty Senate resolution #24-52. Peer assessment includes but is not limited to: <ol class="wp-block-list"> <li>Formal peer observation of teaching as detailed in Faculty Senate resolution #24-52.</li>   <li>Documented review of teaching portfolios.</li>   <li>Documented discussions regarding pedagogical goals and methods.</li>   <li>Other peer assessment enabled by the unit code.</li> </ol> </li>   <li>Additional inputs to assess teaching effectiveness include but are not limited to: <ol class="wp-block-list"> <li>Instructional Materials <ol style="list-style-type:lower-alpha" class="wp-block-list"> <li>Syllabus, including the course description, student learning outcomes, and course requirements.</li>   <li>Student assignments, examinations, and other materials relevant to teaching.</li>   <li>New or revised course materials.</li>   <li>Examples of student work, such as tests, exams, quizzes, assignments, projects, papers, juries, or other examples of student achievement.</li>   <li>Grade distributions. </li>   <li>Evidence of pedagogical innovations in response to feedback and/or to promote student success.</li> </ol> </li>   <li>Direct observation of teaching (synchronous or asynchronous) by the unit administrator.</li>   <li>Quantitative measures of instruction, including but not limited to: <ol style="list-style-type:lower-alpha" class="wp-block-list"> <li>Courses taught and number of students taught.</li>   <li>Numbers of undergraduate, master's, doctoral, post-doctoral students, and students supervised in the clinic.</li>   <li>Number of master's theses and doctoral dissertations directed.</li>   <li>Number of memberships on doctoral dissertation and master's and honors research committees.</li>   <li>Number of honors research projects and theses supervised. </li>   <li>Number of honors courses taught.</li>   <li>Number of undergraduate research projects, directed readings, and independent studies supervised.</li> </ol> </li>   <li>Impact of scholarly activity on improving the quality of instruction at ECU or elsewhere <ol style="list-style-type:lower-alpha" class="wp-block-list"> <li>Awards and honors recognizing excellence in teaching.</li>   <li>Grants to support instructional activities and programs; if the activities are collaborative, the faculty member's distinctive contribution must be defined. </li>   <li>Recognition by professional organizations for leadership in educational endeavors.</li>   <li>Teaching workshops conducted.</li>   <li>Publication of scholarly articles addressing pedagogy (if not classified as Scholarship in the unit code or discipline).</li>   <li>State, regional or national leadership roles related to education.</li>   <li>Invitations from other institutions to serve as an education consultant.</li>   <li>Continuing education courses taught.</li>   <li>Evidence of leadership and scholarly engagement in the development of pedagogy.</li>   <li>Scholarly reputations of journals and publishers of teaching publications.</li>   <li>Evidence that contributions to teaching are being adopted or are affecting teaching.</li>   <li>Evidence of impact on the professional careers of others (e.g., former students, junior faculty, colleagues). Student complaints may not be used to evaluate a faculty member unless they have been addressed under the provisions of East Carolina University Faculty Manual, Part VI, Section IV, subsection III, which defines faculty members' due process rights. (FS Resolution #19-09, February 2019)</li> </ol> </li> </ol> </li> </ol> </li>   <li>Research/Creative Activity Measures of success in the area of scholarship include, but are not limited to, peer-reviewed publications, books, presentations, performances, patents, and national awards, including both honorary awards and competitively awarded external funding as appropriate to the discipline. These measures, and particularly national awards that recognize prominence in the discipline, will be positively reflected in annual evaluations and other personnel actions. Unit codes should define these criteria, and relative importance, in detail.</li>   <li>Patient Care and Related Clinical Responsibilities Unit codes will describe expectations for clinical services and criteria for evaluation.</li>   <li>Service Service on department, school, college, and university committees, councils, and senates; service to professional organizations; service to local, state and national governments; contributions to the development of public forums, institutes, continuing education projects, patient services and consulting in the private and public sectors. Unit codes should define these criteria, and relative importance, in detail.</li>   <li>Other assigned responsibilities.</li> </ol>   <h3 class="wp-block-heading" id="FacultySuccess">IV. Faculty Success Plan</h3>   For faculty members who do not meet expectations as outlined in their annual faculty work plan, documentation in the form of a Faculty Success Plan will be included as a part of their annual evaluation. This Faculty Success Plan will be created by the unit administrator in collaboration with the faculty member and will:   <ul class="wp-block-list"> <li>be in writing;</li>   <li>include specific steps designed to lead to improvement;</li>   <li>include a specific timeline in which improvement is expected to occur;</li>   <li>a clear statement of consequences if steps are not met within specified timeline;</li>   <li>peer mentoring is encouraged as part of the faculty success plan;</li>   <li>progress meetings with the department chair/academic unit head shall occur on at least a semi-annual basis during the specified timeline.</li> </ul>   If a faculty member does not agree to the implementation of a faculty success plan, they may appeal in accordance with the provisions of the grievance procedure of Part XII, Section I, as appropriate.   <h3 class="wp-block-heading" id="Reappointment-of-Probationary-Term-Faculty-Members">V. Reappointment of Probationary-Term Faculty Members</h3>   Refer to Part IX of the East Carolina University Faculty Manual.   <h3 class="wp-block-heading" id="Subsequent-appointments-of-Fixed-Term-Faculty-Members">VI. Subsequent appointments of Fixed-Term Faculty Members</h3>   Refer to Part IX of the East Carolina University Faculty Manual.   <h3 class="wp-block-heading" id="Professional-Advancement">VII. Professional Advancement</h3>   Promotion for tenured and probationary-term faculty members and advancement in title for fixed-term faculty members are means through which professional achievement is encouraged, recognized, and rewarded by the university. The evaluation of faculty members for purposes of promotion or advancement in title shall accord with the regulations established in the unit code and shall employ the criteria contained in the unit code approved by the Chancellor (East Carolina University Faculty Manual, Part IV).   Specific regulations and criteria governing evaluation of faculty for purposes of promotion or advancement in title may vary from unit to unit.   As a minimum, each unit shall:   <ul class="wp-block-list"> <li>apply published criteria in teaching, scholarship, service, and clinical service, where relevant to the discipline, for evaluating faculty for promotion or advancement in title;</li>   <li>make available procedures which will permit each faculty member to report achievements annually or on a more frequent basis; and</li>   <li>inform each faculty member of the right to discuss his or her candidacy with the unit administrator and/or the appropriate unit committee at any time prior to the deadline for submission of materials.</li> </ul>   Upon request by a faculty member, the unit administrator and the appropriate unit committee shall evaluate the faculty member for promotion to the next rank or for advancement in title. Procedures to be followed for promotion or advancement in title are found in East Carolina University Faculty Manual, Part IX and Part X.   Promotion in rank and advancement in title should be accompanied by a salary increment, which shall be separate from any and all other increments to which the individual may be entitled, unless the State of North Carolina or University of North Carolina regulations state otherwise.   <h3 class="wp-block-heading" id="Salary">VIII. Salary</h3>   <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li>Initial Salary Initial salary shall be based on degree attainment, academic rank, pertinent professional experience and qualifications, scholarly publication or its equivalent, and level of responsibility. Consideration should be given to the salaries of personnel presently in the unit and must be consistent with University-established faculty salary ranges.</li>   <li>Determination of Annual Salary Increments The unit administrator shall recommend annual salary increments to the appropriate administrative officials in accordance with requirements imposed by the North Carolina General Assembly, The University of North Carolina Board of Governors, the ECU Board of Trustees, and the university administration. Recommended salary adjustments shall rely upon criteria that have been established in the East Carolina University Faculty Manual, in unit codes, or in guidelines referenced in unit codes. Criteria for assessing merit are contained in unit codes. The unit administrator shall also inform the unit, in dollar amounts and percentages, the total adjustment, mean salary increment, and range in salary increments for the unit. Each faculty member shall be informed by the unit administrator of any salary increment recommendations made on behalf of the faculty member.</li>   <li>Benefits and Salary Increases for Fixed-Term Faculty When salary increments are provided by the Board of Governors, all full-time fixed-term faculty members who have completed one year of employment and have received a subsequent appointment shall be considered for a salary increase based upon their annual evaluation and criteria established by the Board of Governors, ECU Board of Trustees, and the unit code. Full-time, fixed-term permanently appointed faculty members are entitled to those benefits that are provided to other full-time permanent faculty employees of ECU, unless State of North Carolina or University of North Carolina regulations state otherwise.</li> </ol>   <h3 class="wp-block-heading" id="Faculty-Personnel-Files">IX. Faculty Personnel Files</h3>   <ol style="list-style-type:upper-alpha" class="wp-block-list"> <li><a href="https://www.ncleg.gov/EnactedLegislation/Statutes/HTML/ByChapter/Chapter_126.html" target="_blank" rel="noreferrer noopener">Article 7 of Chapter 126</a> of the General Statute of North Carolina shall govern matters relating to an employee’s personnel file, its contents, and permissible access. Current General Statutes may be requested through the Office of University Counsel (formerly, the University Attorney) or through references in Joyner Library. For questions regarding personnel file, contact the Faculty Senate Office, the appropriate Division Vice Chancellor, or the University Counsel Office.</li>   <li>Definition “Personnel File” means any employment-related or personal information gathered by an employer or by the Office of State Human Resources. Employment-related information contained in a personnel file includes information related to an individual’s application, selection, promotion, demotion, transfer, leave, salary, contract for employment, benefits, suspension, performance evaluation, disciplinary actions, and termination. Personal information contained in a personnel file includes an individual’s home address, social security number, medical history, personal financial data, marital status, dependents, and beneficiaries. “Record,” as used in this Part VIII of the Faculty Manual, means the personnel information that each employer is required to maintain in accordance with G.S. 126-123. The Personnel Action Dossier (PAD) and Portfolios for Advancement in title are evaluative documents, employment-related personnel information, and a part of the faculty member’s personnel file. The personnel file is University property and is retained by the University. Contents of the personnel file are kept in accordance with the Records Retention and Disposition Schedule approved by the Chancellor. Timing of storage and transfer vary depending on the specific type of document. Please refer to the following websites for additional information: <a href="https://archives.ncdcr.gov/documents/universitygs2021pdf/open" target="_blank" rel="noreferrer noopener">Records Retention and Disposition Schedule for the Institutions of the University of North Carolina System (PDF)</a> and <a href="http://libguides.ecu.edu/c.php?g=767690&p=5507178" target="_blank" rel="noreferrer noopener">ECU Records Management</a>.</li>   <li>Location Personnel records exist in various locations across campus. Academic Affairs and the Health Sciences divisions will maintain comprehensive lists of locations where files may be found on a website accessible to faculty members. The Faculty Senate office can direct faculty members to the appropriate website. All records used in the formal evaluation of faculty members should be located in the primary collection of documents that are kept in the department or unit that are part of the personnel file, hereafter referred to as the department/unit personnel file. The unit administrator can inform the faculty member of the location of evaluative material. An appeal hearing file or an investigative file prepared by the EEO Office or by the Office of University Counsel may include materials such as: filed grievances; appeals of non-reappointment or non-conferral of tenure; complaints filed by or against a faculty member with the ECU EEO Office alleging sexual harassment, discrimination based on race/ethnicity, color, genetic information, national origin, religion, sex (including pregnancy and pregnancy related conditions), sexual orientation, gender identity, age, disability, political affiliation, and veteran status ("Protected Class"), or a violation of the amorous relations policy; and records relating to any disciplinary action against a faculty member. Information retained in the EEO Office or the University Counsel’s Office will remain confidential, but the documents collected and/or created in those offices are usually considered part of an investigative/preparation file and are not considered part of the department/unit personnel file. Disclosure of documents in those files is subject to applicable University policies and state laws. Additionally, in accordance with the relevant University policy and state laws, the University will formally notify the faculty member of any complaint or grievance formally filed against a faculty member and will follow the procedures prescribed for due process. In most cases, documents containing employment-related or personal information maintained in the EEO Office or University Counsel’s Office will be duplicates of documents in the department/unit personnel file. In all cases, the documents in those files will be available for review by the faculty member, except that the University does not waive rights and responsibilities to limit disclosure recognized by law, including but not limited to attorney-client communication privilege and attorney work product privilege.</li>   <li>Content State law requires that the University permit the public to have access to the following employment related information about each employee: <ul class="wp-block-list"> <li>name;</li>   <li>age;</li>   <li>date of original employment or appointment to state service;</li>   <li>the terms of any contract by which the employee is employed whether written or oral, past and current, to the extent that the university has the written contract or a record of the oral contract in its possession;</li>   <li>current position;</li>   <li>title;</li>   <li>current salary;</li>   <li>date and amount of each increase or decrease in salary with the university;</li>   <li>date and type of each promotion, demotion, transfer, suspension, separation, or other change in position classification with the university;</li>   <li>date and general description of the reasons for each promotion with the university;</li>   <li>date and type of each dismissal, suspension, or demotion for disciplinary reasons taken by the university. If the disciplinary action was a dismissal, a copy of the written notice of the final decision of the Chancellor setting forth the specific acts or omissions that are the basis of the dismissal; and</li>   <li>the office to which the employee is currently assigned. To the extent allowed by applicable law (e.g., <a href="https://www.ncleg.gov/EnactedLegislation/Statutes/HTML/ByChapter/Chapter_126.html" target="_blank" rel="noreferrer noopener">Article 7 of Chapter 126</a> of the General Statutes of North Carolina), all other information contained in the personnel file is confidential and shall not be open for inspection and examination except to the following persons: <ol class="wp-block-list"> <li>The employee, applicant for employment, former employee, or his or her properly authorized agent, who may examine his or her own personnel file in its entirety except for (i) letters of reference solicited prior to employment or (ii) information concerning a medical disability, mental or physical, that a prudent physician would not divulge to a patient. An employee's medical record may be disclosed to a licensed physician designated in writing by the employee;</li>   <li>The supervisor of the employee;</li>   <li>A potential state or local government supervisor, during the interview process, only with regard to the performance management documents;</li>   <li>Members of the General Assembly who may inspect and examine personnel records under the authority of G.S. 120-19;</li>   <li>A party by authority of a proper court order may inspect and examine a particular confidential portion of a State employee's personnel file; and</li>   <li>An official of an agency of the federal government, state government, or any political subdivision thereof. Such an official may inspect any personnel records when such inspection is deemed by the department head of the employee whose record is to be inspected or, in the case of an applicant for employment or a former employee, by the department head of the agency in which the record is maintained as necessary and essential to the pursuance of a proper function of said agency; provided, however, that such information shall not be divulged for purposes of assisting in a criminal prosecution, nor for purposes of assisting in a tax investigation; and</li>   <li>Any person or corporation to which the Chancellor determines release of such information is essential as allowed by <a href="http://www.ecu.edu/cs-acad/fsonline/customcf/facultymanual/newmanual/appendixcGS126-24.pdf">General Statute §126-24</a>. Evaluative materials or summaries thereof prepared by peer committees as part of a regular evaluation system are placed in the department/unit personnel file when signed by a representative of the committee, including official copies of Personnel Action Dossiers for tenure and promotion of tenured and probationary faculty and Portfolios for advancement in title of fixed-term faculty, as outlined in Part X of the East Carolina University Faculty Manual. This includes documentation submitted by faculty members for consideration in the tenure, reappointment, promotion, and advancement in title processes. These documents shall reside in the department/unit personnel file. No material obtained from an anonymous source shall be placed in the personnel file except for data from student opinion surveys. Data from student opinion surveys shall be submitted by the authorized surveying agent to the faculty member and the unit administrator. Administrators shall not keep secret files. A faculty member who objects to material in the department/unit personnel file or other employment-related or personal information contained in the personnel file may place in the file a statement relating to the material the faculty member considers to be inaccurate or misleading. This concise statement shall be submitted to the custodian for inclusion as an attachment to the specific document. A faculty member who objects to material in the personnel file because it is inaccurate or misleading may seek the removal of such material from the personnel file in accordance with Part XII of the East Carolina University Faculty Manual.</li> </ol> </li> </ul> </li>   <li>Access Personnel records may be located at various locations across campus. The personnel offices of Academic Affairs and the Health Sciences divisions will maintain comprehensive lists of locations where files may be found. Faculty members may obtain access to their departmental/unit personnel file by submitting advance notice of at least 4 calendar days to the unit administrator. Confidential documents, as specified in D.1 (above), will be removed. The faculty member may request the unit administrator's assistance in gathering files from various locations. The unit administrator must make arrangements to have office staff available to oversee the review process to ensure the integrity and safekeeping of the records and to assist in making copies of the file, if applicable. A faculty member may obtain copies of any materials contained in the personnel file subject only to restrictions provided by state law.</li>   <li>Disclosure of Confidential Information Willful disclosure of confidential information or unauthorized access to a personnel file by any person violates state law and university regulations and may result in disciplinary action under university regulations. Any public official, employee, agent, University contractor, student worker, intern, or volunteer who knowingly and willfully permits these violations but does not act to address them has neglected his or her duties and may also be disciplined in accordance with university regulations.</li> </ol>   <h3 class="wp-block-heading" id="Amendment-Procedure">IX. Amendment Procedure</h3>   Amendment procedures are subject to the University’s Regulation on Policies, Rules, and Regulations. The Faculty Senate will consider amendments to East Carolina University Faculty Manual, Part VIII, Section I - Personnel Policies and Procedures for the Faculty of East Carolina University that are proposed by any full-time member of the faculty, by any faculty committee, or by any member of the administration of East Carolina University. Amendment(s) submitted to the Faculty Senate for consideration shall be handled as any other item of legislation that comes before the Senate. If the Senate approves such a proposed amendment, the Senate shall submit the proposed amendment to the Chancellor and, if approved by the Chancellor, the amendment will be forwarded to the Board of Trustees for its approval. Consideration by the Board of Trustees is not required if the Chancellor has final authority to enact the amendment.   <h3 class="wp-block-heading" id="Effective-Date">X. Effective Date</h3>   All provisions of these policies and procedures shall become effective on the date they are approved by the East Carolina University Board of Trustees or its designee.   (FS Resolution #11-94, November 2011; FS Resolution #12-76, April 2012; FS Resolution #13-97, December 2013; FS Resolution #14-04, March 2014; FS Resolution #18-41, July 2018; FS Resolution #19-09, February 2019; FS Resolution #20-57, November 2020; FS Resolution #21-41, February 2022; FS Resolution #22-67, January 2023; FS Resolution #23-62, January 2024; FS Resolution #24-36, September 2024; FS Resolution #24-52, August 2024)

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

Last updated:
May 24, 2019