THE UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE
Senate Document Number 0102F
Date of Senate Approval 10/17/02
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Statement of Faculty Senate Action:
Executive Committee Document 1: Revision of UNCA Tenure Policies and Regulations (Revision of SD3502S)
Effective Date: July 1, 2003 or upon approval of the UNCA Board of Trustees and the UNC Board of Governors
Replace Tenure Policies and Regulations of the University of North Carolina at Asheville Section III A-I with the revised version that follows. Revisions of specifications of faculty ranks in section III C do not apply to faculty members employed before the time at which this document becomes effective. Replace all instances of the following phrases in the remaining sections of the document: "he" with "he or she", "him" with "him or her", "his" with "his or hers", "Chairman" with "Chair".
Rationale and Impact
On April 11, 2002, the UNCA Faculty Senate passed 3502S - Revision of UNCA Tenure Policies and Regulations. However, that document was not acceptable to the Board of Governors. This document incorporates additional changes suggested by the Office of the President and Mark Padilla as edited by the Tenure Task Force. These changes would supercede SD3502S.
Summary of Proposed Changes to 3502S
1. Descriptions of the ranks have been reorganized by dividing them into tenurable ranks and non-tenurable ranks. Descriptions have been altered to agree more closely with the Faculty Handbook. The only substantive change in this section is described in #2 below.
2. Instructors have only two years to get their terminal degree. If they do not receive their terminal degree within two years, they can be appointed to one more terminal year on the faculty.
3. When Chairs are being evaluated a tenured member of another department within that division will fill the role of Chair in the evaluation process. (In 3502S an Associate VCAA was specified to fill the role of Chair.)
4. When departments have less than three tenured faculty, non-tenured members of the department would not be allowed to be included in the departmental evaluation of the faculty member. Conditions for allowing tenured members of other departments in this case are specified.
5. The tenure clock is stopped for one-year leaves or for maternity or primary-care leaves. The tenure clock for one-semester leaves is not stopped unless requested by the faculty member and approved by the VCAA. Faculty members who drop to part-time employment due to maternity or primary-care duties for any part of the academic year are eligible to extend the probationary period by one year.
6. If an assistant professor is reappointed for a second probationary term, the second probationary term would be changed to a 4-year term beginning the following fall semester as opposed to a 3-year term beginning the year after the following fall.
7. The VCAA may involve the Associate Vice Chancellor(s) of Academic Affairs in a consultative role in tenure and promotion decisions.
8. It is made explicit that the procedure of promotion to Professor follows a similar process that tenure and reappointment decisions follow.
italics indicates additions to SD3502S
strikethrough indicates deletions from SD3502S
Section III. ACADEMIC TENURE
1. Academic tenure refers to the conditions and guarantees that apply to a faculty member's employment. More specifically, it refers to the protection of 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 Section IV or against termination of employment except as provided for in Section V.
2. The purpose of according the protection of academic tenure to faculty members is to secure their academic freedom and to help the institution attract and retain faculty members of the high quality it seeks. While academic tenure may be withheld on any grounds except those specifically stated to be impermissible under Section III.J.1., its conferral requires an assessment of the faculty member's demonstrated professional competence, his or her potential for future contribution, and the institution's needs and resources.
B.Tenure, Notice, and Reappointment.
1.Tenure. Whether contractual or permanent in nature, the tenure conferred on a faculty member is held with reference to employment by The University of North Carolina at Asheville, rather than by The University of North Carolina.
2. Conferral of Permanent Tenure. Permanent tenure may be conferred only by action of the President and the Board of Trustees Governors of The University of North Carolina at Asheville or by such other agencies or officers as may be delegated such authority by that board. Because promotion to the rank of Associate Professor or Professor confers permanent tenure from the effective date thereof, any such promotion must be approved by the President and Board of Trustees Governors or upon their delegation as stated above. Any reappointment to the rank of Assistant Professor that confers permanent tenure also must be approved by the President and Board of Governors or upon their delegation as stated above.
3. Reappointment Decisions. All reappointment decisions provided for herein shall be made and communicated as provided in Section III.D.
4. Early Tenure Requests. A faculty member may request a review for tenure before the contractually specified time. A negative tenure decision in this case is equivalent to a decision to not reappoint the faculty member after completion of the current probationary term. Because a promotion implies tenure, a request for a review for promotion from a non-tenured faculty member has the same consequences.
5. Notice of Nonreappointment. Failure to give required notice of a decision not to reappoint a faculty member has the same effect as a decision at that time to offer a terminal appointment at the same rank for the following year,1 except explicitly stated otherwise herein.
C. Faculty Ranks.
Academic tenure, as herein described, pertains exclusively to the employment of faculty members by appointment to specified faculty ranks. Such appointments may be for fixed terms of employment, automatically terminal when they expire ("fixed term appointment"); or they may be for probationary terms ("probationary term appointment"); or they may be continuous until retirement, death, or resignation except as provided in Sections IV and V herein ("appointment with permanent tenure").
The full-time faculty ranks to which appointments may be made are:
1. Non Tenurable Ranks.
a. Instructor. The rank of instructor is appropriate for a person who is appointed to the faculty in the expectation that he or she will soon could progress to a Professorial rank but who lacks, when appointed, one or more qualifications expected by his or her department the necessary terminal degree for appointment to a Professorial rank. Initial appointment to the rank of instructor shall be for a probationary term of one year, with one additional year of Instructor rank allowable so as to complete the required degree. (The candidate can be offered a terminal one-year appointment following the two-year allowance.) Appointments to this rank may be renewed on a yearly basis for a total of four probationary years service at this rank. Effective on completion of any probationary year, an instructor may also be offered promotion to the rank of Assistant Professor, which appointment constitutes initial appointment at that rank, or a "special" appointment pursuant to Section III.C.5. herein. Effective on completion of the necessary degree, advancement to the rank of Assistant Professor begins the following fall semester and initiates the first four-year probationary term. No person holding a position as an instructor may be appointed to permanent tenure at that rank. Notice to an instructor of the decision concerning reappointment shall be given according to this schedule:
1. during the first year of service as an instructor, no less than 90 days2 before the end of that year;
2. during the second year of service as an instructor, no later than 180 days2 before the end of that year with reference to a third year of service.
b. Lecturer. The rank of Lecturer is reserved appropriate for persons who are appointed to non-tenure track full-time faculty positions of specifically contracted length. has special teaching ability but does not currently have and does not intend to obtain the terminal degree in the field. Initial appointment to the rank of Lecturer shall be for one year. After completion of at least three one-year appointments, terms may be extended to three or five years. Reappointment requires successful performance by the Lecturer and continuing need for this type of position in the department or program. Lecturers are not eligible for tenure. Notice to a Lecturer of the decision concerning reappointment for the following academic year should be given before the end of the spring semester.
c. Other Special Faculty Appointments. Special fixed-term faculty appointments with the title designations of "artist in residence," or "writer in residence," or with any faculty rank when accompanied by the qualifying prefix "adjunct," "clinical," or "research," may be made as provided herein. Such an appointment is appropriate for a person who has unusual qualifications for research, academic administration, or public service but for whom neither a Professorial rank nor the instructor rank is appropriate because of the limited duration of the mission for which he or she is appointed, because of concern for continued availability of special funding for the position, or for other valid institutional reasons. An initial special appointment shall be for fixed terms of one to five years and may be made either in direct succession or at intervals. Individuals with this type of appointment are not eligible for tenure. The "notice" provisions of Section III.B.4. do not apply to special faculty appointments, and a faculty member holding such an appointment is not entitled to any notice concerning offer of any subsequent appointment at any rank or title or for any term.
d. Visiting Faculty Appointments. Persons other than regular members of the faculty may receive fixed-term appointments as visiting members of the faculty with rank designations, prefixed by the word "visiting," appropriate to their status in their regular employment. Such an appointment shall be for a term of not more than one year; one subsequent appointment may be made for a term of not more than one year. Visiting faculty are not eligible for tenure. The "notice" provisions of Section III.B.4. do not apply to visiting appointments, but during the term of appointment a visiting faculty member enjoys the protections afforded by Section IV.
2. Tenurable Ranks. To be eligible to hold a tenurable rank a person must hold the terminal degree (usually the doctorate) in his or her discipline.
a. Assistant Professor. Initial appointment to this rank shall be for a probationary term of four years. In the third year of this term following a review, the person may be appointed for a second four-year probationary term. A favorable review followed by reappointment voids the fourth year of the first term and initiates the second probationary term in the following academic year. An unfavorable review allows the fourth year of the first term to serve as a grace year of employment with faculty status. Reappointed persons on tenure track will normally be evaluated for tenure and promotion to Associate Professor in the sixth year of the full probationary period. Candidates awarded tenure will begin a permanent contract in the following year of employment. Candidates not awarded tenure may not be reappointed beyond the seventh year of employment. Initial appointment to the rank of Assistant Professor shall be for a probationary term of four years. At the conclusion of this initial term the faculty member may be offered reappointment to a second probationary term of three years as an Assistant Professor, or reappointment with permanent tenure as an Associate Professor, or may not be offered reappointment. At the conclusion of a second probationary term the faculty member may be offered reappointment with permanent tenure at the rank of Associate Professor, or may not be offered reappointment. Notice to an Assistant Professor of the decision concerning reappointment shall be given no less than twelve months before the end of the individual's then-current term.
b. Associate Professor. For untenured faculty, the initial appointment to this rank shall be for a probationary term of four years. Appointments will normally be evaluated for tenure in the third year of the term. Candidates awarded tenure will begin a permanent contract in the fourth year of employment. Candidates not awarded tenure may not be reappointed beyond the fourth year of the term. Initial appointment to the rank of Associate Professor shall be for a probationary term of four years. At the conclusion of this term the faculty member may be offered reappointment with permanent tenure at the same or higher rank, or may not be offered reappointment. Notice to an Associate Professor of the decision concerning reappointment shall be given no less than twelve months before the end of his or her probationary term.
c. Professor. For untenured faculty, the initial appointment to the rank shall be for a probationary term of four years. Appointments will normally be evaluated for tenure in the third year of the term. Candidates awarded tenure will begin a permanent contract in the fourth year of employment. Candidates not awarded tenure may not be reappointed beyond the fourth year of the term. Initial appointment to the rank of Professor shall be for a probationary term of four years. At the conclusion of this term the faculty member may be offered reappointment with permanent tenure as a Professor, or may not be reappointed. Notice to a Professor of the decision concerning reappointment shall be given no less than twelve months before the end of his or her probationary term.
D. Initiation, Review, and Approval of Promotion and Reappointment Decisions.
1. Initiation of Review. In the case of a contractually required review (i.e., a reappointment or tenure review), the VCAA begins the process by sending a notice of review to each candidate with a copy to the faculty member's Chair. The notice of review specifies the documents to be prepared and the timetable for the review process. In the case of a requested review (i.e., a promotion or early tenure review), the candidate initiates the process, notifying his or her department Chair of the request for review.
2. Chair's Evaluation.
a. Each decision concerning reappointment or promotion in rank (whether or not the decision concerns a recommendation for conferral of permanent tenure) requires an evaluation by the department Chair after consulting with the department's assembled tenured faculty. When the faculty member under review serves as a department Chair, the VCAA, or designated Associate VCAA, in consultation with the faculty member being evaluated, will assign a tenured faculty member to serve in the role of Chair. The designated Chair will have a tenured faculty appointment outside the department (or program) and within the division (or divisions). In the case of evaluation of a Chair the Associate Vice Chancellor for Academic Affairs / Dean of the Faculty fills the role of Department Chair throughout the procedure. After consulting with the tenured department members, and reviewing all materials in the evaluation file, the Chair writes an evaluation of the faculty member under review, including the vote of the assembled tenured department members, and the date of that meeting, as well as the Chair's own recommendation regarding the faculty member.
b. If the department has fewer than three tenured faculty members, the Chair will consult with faculty members outside the department chosen in consultation with the candidate and approved by the VCAA. No fewer than three tenured faculty members shall participate fully in the departmental review process. The following are faculty appropriate to consider for inclusion:
1) Tenured faculty members in Departments where the faculty member has taught courses.
2) Chairs or Program Directors in Departments where the faculty member has taught courses.
3) Tenured faculty members in other Departments who are familiar with the faculty member's work.
members of the department senior in length of service to the faculty member. With the express approval of the Vice Chancellor for Academic Affairs, faculty members outside the department and familiar with the person's work also may be consulted.
c. If the Chair intends to recommend reappointment or promotion, he or she shall notify the faculty member and shall submit to the Vice Chancellor a written recommendation which shall include an assessment of the faculty member's demonstrated professional competence and his or her potential for future contributions.
d. When the Chair intends to make a negative recommendation, he or she shall communicate that intention to the Vice Chancellor for Academic Affairs and the faculty member privately by a simple, unelaborated written statement. Within five days after receipt of that notice the faculty member may request a conference with the Chair and the opportunity to provide the Chair, for inclusion in the faculty member's record, additional written evidence or views bearing on the faculty member's demonstrated professional competence and potential for future contributions. Any such request shall be granted and any conference or submission shall be accomplished within five days of the date the request is made. If the faculty member does not make timely request for the opportunities set forth above, or after any such opportunity is afforded the faculty member, the Chair within five days thereafter shall submit to the Vice Chancellor for Academic Affairs the written recommendation described in Section III.D.1.
3. Vice Chancellor's Favorable Recommendation. After receiving the department Chair's recommendation the Vice Chancellor for Academic Affairs shall consult the Committee of the Tenured Faculty which consultation shall include review both of the Chair's recommendation and of institutional needs and resources. A committee member who holds an appointment in the faculty member's department or has a conflict of interest shall withdraw from the deliberations and voting on that case after consultation with the committee Chair and the Chair of the Faculty Senate. The VCAA may involve the Associate Vice Chancellor(s) of Academic Affairs in a consultative role so as to help assure equity of standards. Except where the Vice Chancellor intends to decide that a faculty member shall not be reappointed, the Vice Chancellor then shall notify the faculty member and send his or her written recommendation, together with the Chair's recommendations and written statements of the views of the Committee of the Tenured Faculty, to the Chancellor.
4. Vice Chancellor's Decision not to Reappoint. When the Vice Chancellor intends to decide that the faculty member shall not be reappointed, he or she shall communicate that intention to the faculty member privately by a simple, unelaborated written statement. Within five days after receipt of that notice the faculty member may request a conference with the Vice Chancellor, either alone or together with the Committee of the Tenured Faculty; any such request shall be granted and the conference shall be within five days of the date the request is made.
a. If the faculty member does not make timely request for such a conference, or after any such conference is held, the Vice Chancellor within five days shall either recommend to the Chancellor that the faculty member be reappointed or promoted as provided in paragraph 3 2, or notify the faculty member of the his decision that the faculty member shall not be reappointed. Notice of a decision not to reappoint shall be made by a simple, unelaborated written statement, a copy of which is sent to the Chancellor; no other materials shall be transmitted to the Chancellor.
b. The faculty member may seek review of the Vice Chancellor's decision before the Faculty Hearings Committee in accordance with Section III.J. herein if the faculty member alleges that the decision is based on a ground prohibited by Section III.J.1 or affected by the material procedural irregularities as defined by III.J.2.
5. Chancellor's Decision. The Chancellor shall make a decision on each favorable recommendation submitted by the Vice Chancellor for Academic Affairs and on each appeal as provided in Sections III.J. within 20 days of receipt of the recommendation or appeal. When the Chancellor makes a favorable decision, he or she shall forward it to the Board of Trustees for final approval (unless that Board has delegated approval authority to the Chancellor), provided that pursuant to Section III.B.2., in any case involving a recommendation for conferral of permanent tenure, if the Board of Trustees concurs with the Chancellor's recommendation he or she then shall forward that recommendation to the President and Board of Governors for approval. If the Chancellor's decision is unfavorable, he or she shall so notify the faculty member by a simple, unelaborated written statement, and within 10 days thereafter the faculty member may appeal to the Board of Trustees pursuant to Section 501C(4) of the Code. A positive decision regarding tenure or promotion becomes effective on July 1 of the year in which the decision is made.
E. Resignations. A faculty member shall give prompt written notice of his or her resignation, including the effective date, to the his or her department Chair and to the Vice Chancellor for Academic Affairs.
F. Leave of Absence During Probationary Terms. Under unusual circumstances leaves of absence may be granted to faculty members during probationary terms. If a probationary faculty member receives a one-year leave of absence, that year will not be counted as part of the faculty member's probationary service and the term of his or her probationary contract will be extended one year. A probationary faculty member who receives a one-semester leave of absence normally does not stop the tenure clock. However, the faculty member may request a one-year semester term and timetable extension from the Vice Chancellor for Academic Affairs. A leave of absence due to maternity or primary-care duties (as prescribed by the Family Leave and Medical Act) automatically extends the probationary period by one year unless otherwise requested by the faculty member and authorized by the VCAA.
G. Terms and Conditions of Appointment. The terms and conditions of each initial appointment and of each reappointment shall be set out in writing; the faculty member and the Chancellor each shall receive a copy thereof signed by both parties. Each document of appointment shall state that the appointment is subject to these Tenure Policies and Regulations of The University of North Carolina at Asheville and to The Code of the Board of Governors of the University of North Carolina. Any other terms and conditions of appointment shall either be set out in the document of appointment or incorporated therein by clear reference to specified documents that shall be readily available to the faculty member.
H. Continued Availability of Special Funding. Appointment, reappointment, or promotion of a faculty member to a position funded in whole or in substantial part from sources other than continuing state budget funds or permanent trust funds shall specify in writing that the continuance of the faculty member's services, whether for a specified term or for permanent tenure, shall be contingent upon the continuing availability of such funds. This contingency shall not be included in a faculty member's contract in either of the following situations:
1. 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. If the faculty member held permanent tenure in the institution on 1 July 1975 and his or her contract was not then contingent upon the availability of sources other than continuing state budget or permanent trust funds.
I. Provisions for Less Than Full-Time Employment. Special terms for less than full-time employment or for relief from all employment obligations for a specified period, with commensurate changes in compensation, may be included in an appointment or reappointment to any faculty rank, or may be added by a written memorandum of amendment during the term of an appointment. For compassionate reasons of health or requirements of child care, or for other compelling reasons, such terms may, with the concurrence of the faculty member, include extensions of the period of a current probationary term of appointment to coincide with the extent and duration of the relief from full-time employment obligation; such terms shall include such extensions for requirements of maternity leave as are provided for by federal and state legislation. Such special terms must be expressly stated in initial appointment documents or, if added by a memorandum of amendment, must be approved by signature of the Chancellor and the faculty member. Except as may be otherwise expressly provided in the documents of appointment, all appointments to any faculty rank are on the basis of full-time employment obligation. These provisions do not apply to informal temporary adjustments of the regularly assigned duties of faculty members by the department Chair chairman who is responsible for their direct supervision. Faculty members who drop to part-time employment due to maternity or primary-care duties for any part of the academic year are entitled to extend the probationary period by one year upon request to the VCAA.
1. Wherever used in Sections III, IV, and V, the word "year" means an academic year.
2. Wherever used in Section III, the word "day" excludes Saturday, Sunday, and any institutional holiday; in computing any period of time, the day on which notice is received is not counted but the last day of the period being computed is counted.