APPENDIX A

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

FACULTY CONSTITUTION

Preamble

We, the members of the Faculty of The University of North Carolina at Pembroke, desiring to:

do hereby establish this Constitution.

ARTICLE I. GENERAL FACULTY

Section 1. The General Faculty of The University of North Carolina at Pembroke shall consist of the Chancellor and all full time instructional personnel and all full time non-instructional personnel who are given academic rank.

Section 2. Powers

The General Faculty shall have power (or authority):

Section 3. Meetings

The General Faculty shall meet three times during the academic year, the exact dates of the meeting to be determined by the Chancellor and the Chair of the Faculty Senate. The first meeting will coincide with the fall opening of the University. The second meeting will be held in December. The third meeting will be held in the Spring in time for the approval of graduates.

Section 4. The minutes and records of the General Faculty shall be kept by the Secretary of the Faculty Senate.

ARTICLE II. FACULTY SENATE

Section 1. The General Faculty delegates the responsibility for the conducting of business to a Faculty Senate.

Section 2. The purpose of the Faculty Senate of The University of North Carolina at Pembroke shall be to serve as the principal academic policy-making body of the University, subject to review and approval by the Chancellor; to serve as an advisory and consultative council to the Chancellor and other Administrators; and to receive from Senate Committees or University Departments recommendations concerning educational policies of The University of North Carolina at Pembroke upon which the Senate may deliberate and act.

Section 3. The Senate shall recognize the province within the University of the traditional academic disciplines and the established departments and divisions in setting and implementing rules and regulations directly affecting these areas, but reserves the right to review such rules and regulations as may affect the University as a whole.

Section 4. Actions of the Senate completed

ARTICLE III. MEMBERSHIP AND ELECTIONS

Section 1. The Senate shall consist of the following members:

Section 2. Those eligible to vote for representatives in a division shall be those who currently hold academic rank at The University of North Carolina at Pembroke in a discipline associated with the division; those eligible to vote for Senators-at-Large shall be individuals who hold academic rank at The University of North Carolina at Pembroke.

Section 3. Eligibility for election to Senate membership is restricted to members of the faculty

Section 4. Senators elected by the division shall serve for a term of three years. The Committee on Committees and Elections of the Faculty Senate shall conduct annual elections for division representatives. All votes shall be cast by secret ballot.

Section 5. Senators representing divisions shall normally be elected during the month of February by those holding current academic rank in the division they will represent, to take office in at the adjournment of the first General Faculty meeting of the academic year. Faculty memberswith joint appointments shall be eligible to run and to vote in only one division in the election of Senators representing divisions.

Section 6. Elections for Senators-at-Large shall be conducted immediately following election of division representative, for a term of three years. The election of Senators-at-Large shall be conducted by the Committee on Committees and Elections of the Senate.

Section 7. No elected Senator may serve more than two successive terms for the same position; the filling of an unexpired term shall be deemed as one of the two successive terms.

Section 8. The position of an elected Senator whose term is unexpired shall be considered vacant upon:

Section 9. Senators shall take office at the adjournment of the first General Faculty meeting of the academic year.

ARTICLE IV. DUTIES OF SENATORS

Section 1. Senators shall bring to the Senate proposals originating from (or endorsed by) Department Chairs, from academic supportive services, and from other areas of academic concern of the faculty. Proposals shall be in writing and furnished in sufficient copies to facilitate review and action of the Senate.

ARTICLE V. OFFICERS

Section 1. The Chancellor of the University shall have the right to preside over the deliberations of any legislative bodies of the Faculties of The University of North Carolina at Pembroke.

Section 2. The Senate shall elect from its voting membership a Chair of the General Faculty who shall also serve as Chair of the Faculty Senate, to serve for one year. The Chair shall serve as Chair of the executive Committee, and shall preside at meetings of the Faculty Senate and of the General Faculty subject to the right of the Chancellor to preside over such deliberations as provided in Article V. Section 1, above. The Chair shall not serve for more than two successive years; the filling of an unexpired term shall be deemed as one of the two successive years. The Chair of the Faculty Senate is entitled to a reduced course load (three semester hours per semester) while serving as Chair.

Section 3. The Senate shall elect from its membership a Secretary to serve for a period of one year. The Secretary shall serve as the Secretary of the General Faculty.

ARTICLE VI. COMMITTEES

Section 1. The consideration of matters within its jurisdiction may be delegated by the Senate to Committees, which shall be responsible to and report to the Senate.

Section 2. The Senate shall have the following types of committees: Operations Committees, Standing Committees, Subcommittees of the Standing Committees, and Continuing and Special Committees. The terms of the Operations Committees, Standing Committees, Continuing Committees, and Subcommittees shall end with the convening of a new Senate at the first regular meeting of the academic year; members of Subcommittees of Standing Committees will be selected for two-year staggered terms; and the term of any Special Committee will be ended upon completion of its designated assignment.

Section 3. There shall be four Operations Committees:

Section 4. The three major Standing Committees and their Chairs shall be appointed by the Chair of the Senate after consultation with the Chancellor. Standing Committees will consist of members of the Senate, Chairs of the Subcommittees reporting to them, and various administrators whose University roles make them appropriate members. The Standing Committees shall be:

Section 5. Standing Committees may, with the approval of the Senate, set up Subcommittees; the tenure of the Subcommittee shall be coincident with that of the parent Standing Committee.

Section 6. Persons including members of the Senate, General Faculty, and staff may serve on Subcommittees. When one or more of the three Standing Committees request Subcommittee formation, the Committee on Committees and Elections shall determine the size of the Subcommittee and make nominations to the Senate, to be confirmed by the Senate.

Section 7. All Subcommittees shall report directly to the parent Standing Committee, of which each subcommittee's Chair will be a voting member.

Section 8. The Chair of each Standing Committee shall speak for the Committee. He/she may present an oral or written report, but in every case the presentation must give sufficient information on which the Senate can act.

Section 9. Continuing and Special Committees may be constituted, with appropriate membership, at any time by the Senate.

Section 10. The Faculty Research Advisory Board shall be a Continuing Committee of the Faculty Senate. It shall consist of not more than seven members to serve three-year staggered terms. The members will be nominated by the Chair of the Faculty Senate and confirmed by the Senate. The Board shall elect a Chair from its membership.

ARTICLE VII. MEETINGS

Section 1. The Senate shall regularly meet at least once each month during the academic year. Regular meeting dates shall be established by the Senate; however, these dates may be altered when deemed necessary.

Section 2. A Special Meeting may be called by the Chancellor, the Chair of the Faculty, or at the request of a majority of the voting members of the Senate.

Section 3. Written notices of Regular Meetings of the Senate shall be sent to each Senator one week prior to the meeting and shall contain a tentative agenda. Special meetings, when practicable, shall require a three-day notice. Special Meetings may be arranged by telephone or telegraph. Department offices will be notified.

Section 4. All Meetings of the Senate shall be open meetings unless, consistent with the requirements of State Law, a meeting is closed to the public by majority vote of a quorum of the Senate membership.

Section 5. Fifteen Voting Members of the Senate present at any meeting shall constitute a quorum.

Section 6. Minutes of all meetings shall be distributed to the faculty.

ARTICLE VIII. RIGHT OF FACULTY APPEAL

Section 1. Any action or resolution of the Senate may be appealed to the Senate by a petition containing not fewer than fifteen faculty signatures. In the event of failure of the Senate to produce agreement with the petitioners, fifty members of the faculty signing a petition may call for a General Faculty Meeting. A two-thirds vote of a quorum of the faculty in a General Faculty Meeting shall be required to revoke Senate action.

Section 2. Written notice of a full Faculty Meeting for deliberation of Senate action appealed by petition shall be distributed to the faculty one week prior to the meeting. Such notice shall include a statement of the action to be discussed.

ARTICLE IX. REVIEW OF THE CONSTITUTION, BY-LAWS, PROCEDURES

Section 1. The Senate shall have the authority to make by-laws and rules of order for the conduct of its business.

ARTICLE X. AMENDMENT OF THE CONSTITUTION

Section 1. A recommendation to amend the Faculty Constitution may be made in one of two ways: at a regular meeting of the Senate preceding that at which the vote on such recommendation is taken, or at a meeting of the General Faculty at least thirty days preceding that at which the vote on such recommendation is taken.

Section 2. A two-thirds vote of a quorum of the Senate present and voting shall be necessary in order to recommend the amendment of the Constitution or any of its provisions.

Section 3. Ratification of the recommendation of the Senate or General Faculty for the amendment of the Constitution or any of its provisions shall require a two-thirds vote of the faculty.

Section 4. The Board of Trustees of The University of North Carolina at Pembroke and the Board of Governors of The University of North Carolina shall be properly informed by the Chancellor of changes in faculty organization and operating procedures.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX B

BY-LAWS FOR THE FACULTY SENATE

ARTICLE I. MEETINGS

Section 1. The Faculty Senate shall meet regularly on the first Wednesday of each month of the academic year consistent with the University academic calendar.

Section 2. Special meetings and alterations of the prescribed schedule shall require a three-day notice when practicable.

Section 3. Meetings shall not exceed 90 minutes without a vote to extend the time.

Section 4. Absences from Meetings. When a Senator cannot be present at a regular meeting and requests to be excused, such request must be addressed to the Chair of the Senate, preferably in writing.

Section 5. The minutes and all official documents of the Senate and its subordinate committees will be filed by the Secretary of the Senate. It will be the responsibility of each committee and subcommittee Chair to see that two copies are housed in the library for permanent filing; the Senate typist shall also file copies of all documents.

ARTICLE II. RULES OF ORDER

Section 1. The Senate shall determine the rules of order for the conduct of its business meetings.

Section 2. Robert's Rules of Order (Newly Revised) shall be followed, except that proxy voting shall be not be permitted.

ARTICLE III. ORDER OF BUSINESS

Section 1. The order of business at meetings of the Senate shall be as follows:

Section 2. All business brought before the Senate must have appeared on an approved Agenda before action on it can be completed.

ARTICLE IV. PROPOSALS TO BE ACTED UPON BY THE SENATE

Section 1. Proposals to the Senate may come from any Faculty member, and any administrator eligible for membership in the Senate.

Section 2. Proposals germane to the curriculum of a department must be approved and forwarded to the Department Chair.

Section 3. Endorsement does not imply consent or concurrence but an awareness of a proposal.

Section 4. Proposals originating through individual Senators, from committees or Special Committees, or from any other source shall be routinely referred to the Executive Committee for inclusion on the next agenda.

ARTICLE V. FUNCTION AND SCOPE OF OPERATIONS COMMITTEES

Section 1. Executive Committee

Section 2. Committee on Committees and Elections

The Committee on Committees and Elections shall conduct elections to fill positions that will expire in August, except for UNC Faculty Assembly Delegates and Alternates.

Section 3. Committee on Faculty Governance

The Committee on Faculty Governance shall review and interpret the Faculty Constitution, the By-laws of the Faculty Senate, and rules of order for the conduct of Senate business. Changes in any of these areas that are approved by this committee will be brought, by the Committee Chair, directly to the Senate for its action.

Section 4. Faculty Evaluation Review Committee

The Faculty Evaluation Review Committee shall review the Faculty Evaluation Model regularly, and strive to clarify the existing document. The Committee shall make recommendations to the Senate regarding any changes in the written document and shall respond to all requests for alteration to the document or its underlying philosophy.

Section 5. Divisions by Departments or areas

ARTICLE VI. FUNCTION AND SCOPE OF STANDING COMMITTEES, SUBCOMMITTEES, CONTINUING COMMITTEES AND OTHER COMMITTEES

The three Standing Committees will be:

Although the Standing Committee memberships are reconstituted each Academic year, the subcommittee memberships will be for two-year, staggered terms allowing for unbroken continuity of activity.

Section 1. Academic Affairs Committee

Section 2. Faculty and Institutional Affairs Committee

Section 3. Student Affairs and Campus Life Committee

Section 4. The Composition of Subcommittees and Boards

The Subcommittees and Boards shall be composed as follows, with each member having one vote:

Section 5. Meetings.

Upon organization by the Senate each committee shall meet, establish and publish a list of its scheduled meetings according to the following calendar:

A. FACULTY SENATE

B. Calendar

The Senate Chair and Executive Committee will publish, at the start of the fall semester, a calendar for the academic year of meeting dates and times for each Standing Committee and related Subcommittees of the Senate. The Chair and Executive Committee will also solicit meeting information from other Committees that are related to the Senate. This information will be summarized and published as early as possible in the fall semester.

C. Absences from Meetings

When a member of either a Committee or Subcommittee cannot be present for a meeting and requests to be excused, such request must be addressed to the Chair of the Committee or Subcommittee, preferably in writing. Two unexcused absences will result in a committee or subcommittee vote as to the removal of that member. A replacement, if necessary, will be chosen in accordance with Article VI, Section 3. A of the Faculty Constitution (for a subcommittee member) and Article VI, Section 4 (for a committee member).

Section 6. Faculty Research Advisory Board

A. The Faculty Research Board, a Continuing Committee of the Faculty Senate, shall advise the Faculty Senate and the Chancellor with respect to issues affecting faculty research, scholarly and creative activity. It shall propose initiatives that support faculty research, scholarship and creative activity; consider issues related to these activities submitted to it by the faculty; and monitor the general campus climate for such efforts.

B. The members of the Faculty Research Advisory Board shall be selected on the basis of demonstrated experience in research, scholarly or creative activity and be reflective of a diversity of disciplines. The Board shall meet at least once a semester and more frequently if needed.

Section 7. Teacher Education

The Teacher Education Committee (not a committee of the Senate but a committee of the University) shall submit directly to the Senate for its approval all matters of policy pertaining to undergraduate teacher education. All undergraduate curriculum proposals originating in the Teacher Education committee shall be referred to the Subcommittee on Curriculum. Graduate policy and curriculum matters shall be referred to the Graduate Council.

Section 8. Graduate Council

The Graduate Council (not a committee of the Senate but a committee of the University) shall submit directly to the Senate for its approval all matters of policy pertaining to the graduate program. All curriculum proposals from the Graduate Council shall be referred to the Subcommittee on Curriculum.

Section 9. The Chairs of the Faculty Hearing Committee and the Faculty Grievance Committee will report to the Faculty Senate early in the fall semester on the number of cases heard during the previous academic year (and/or summer).

Section 10. Other University Committees

University Committees (not committees of the Faculty Senate, but Committees appointed by the Chancellor or the Vice Chancellors) shall report to the Faculty Senate at the last meeting of each semester. The reporting committee should be represented by a member of the Faculty who is also a member of that committee. The Senate, which should expect a written and oral report of the committee's activities during the past semester, should feel free to ask questions and to send requests to the committee.

The committees include:

ARTICLE VII. ELECTIONS OF DELEGATES TO THE FACULTY ASSEMBLY OF THE UNIVERSITY OF NORTH CAROLINA

Any faculty member who is eligible to serve on the Senate is also eligible to serve as a Delegate or Alternate to the Faculty Assembly of The University of North Carolina. A delegate may serve ono more than six of the preceding nine years; the terms of Alternates shall correspond to the terms of Delegates. Regular terms, three years in length, shall begin and end on July 1 of each year. Election of one Delegate and one Alternate shall be held in the spring when needed. Should either a Delegate or an Alternate at some time during his/her term find it impossible to continue serving, an election to replace him/her shall be held as soon as possible after the vacancy occurs; and the faculty member shall complete the unexpired term.

Section 2. Senators-at-Large shall be elected by campus-mail ballot immediately following election of Divisional Senators according to procedures prescribed by the Committee on Committees and Elections. Selections will be made from a list of those eligible to serve that will be circulated to the faculty not later than one week prior to the meeting date.

Section 3. Delegates to the Faculty Assembly

Any faculty member who is eligible to serve on the Senate is also eligible to serve as a Delegate or Alternate to the Faculty Assembly of The University of North Carolina. A Delegate may serve no more than six of the preceding nine years; the terms of Alternates shall correspond to the terms of Delegates. Regular terms, three years in length, shall begin and end on July 1 of each year. Election of one Delegate and one Alternate shall be held in the Spring as required. Should either a delegate or an alternate at some time during his/her term find it impossible to continue serving, an election to replace him/her shall be held as soon as possible after the vacancy occurs; and the faculty member elected shall complete the unexpired term.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX C

1998 - 1999 FACULTY SENATE

SUELLEN CABE, CHAIR

LEN HOLMES, SECRETARY

SENATORS:

     Divisional

     To August 1999                                  

     ART Paul Van Zandt
     EDU Susan Edkins
     LET Robert Brown
     NSM Harold Teague
     SBS Pat Cabe

At Large

To August 1999

Cherry Beasley
Jose' D'Arruda
Len Holmes

     To August 2000

     ART Beth Maisonpierre
     EDU Zoe Locklear
     LET Kathleen Hilton
    NSM Pete Wish
    SBS Wright Killian

To August 2000

Nancy Barrineau
Suellen Cabe
Tommy Thompson

   To August 2001

   ART Larry Arnold                              
   EDU Irene Aiken
   LET Merrill Miller
   NSM Paul Flowers
   SBS Debbie Preston

To August 2001

Von Beatty
John Reissner
Rudy Williams

Committee on Promotion and Tenure

Steve Marson                     1999
Sue Bowden                       2000
Ralph Steeds                      2000
Rhoda Collins                     2001
Joe Mandel                        2001

Faculty Grievance Committee

Joe Goldston                     1999
Bob Reising                       1999
Jean Sexton                       2000
Danny Davis                      2000
Stephen Bukowy               2000

Delegates to UNC Faculty Assembly

Jose’ D’Arruda (Delegate)  2000
Chet Jordan (Alternate)       2000
Rudy Williams (Delegate)    2001
Jeffery Geller (Alternate)     2001

Faculty Hearing Committee

Ray Von Beatty                1999
Don Beken                       1999                 
Ellen Bryan                       1999
Lillian Brewington              2000
Suellen Brewington            2000
Eva Meekins                     2000
Oscar Patterson                 2000

University Awards Committee

Weston Cook                    1999
Michael Hawthorne            1999
Beth Maisonpierre              1999
Irene Aiken                         2001
Jose' D'Arruda                    2001

COMMITTEE ON COMMITTEES AND ELECTIONS

Jose D'Arruda
Kathleen Hilton
Tommy Thompson
Rudy Williams

Subcommittee on Academic Support Services

To 1999

LET       Bruce DeHart
EDN      Willie McNeill

To 2000

ART        Lillian Brewinton
NSM       Eva Meekins
SBS         Frederick Stephens

Subcommittee on Curriculum

To 1999                                                                

SBS         Stephen Bukowy
EDN        Saundra Jones 
LET         Monika Brown
ART        Ann Klesener               
NSM       David Zeigler  

To 2000                                                              

ART         George Walter
EDN         Tommy Thompson
LET          Weston Cook
NSM         Leonard Casciotti              
SBS          Kathryn Rileigh


Subcommittee on Enrollment Management

To 1999

NSM       Cherry Beasley
LET          Bob Reising

To 2000

ART            Gary Wright
EDN            P. J. Smith
SBS             Von Beatty

Subcommittee on Faculty Development and Welfare

To 1999

SBS         Fran Haga
LET         Manuel Conley
ART        Lillian Brewington
NSM       Bill Campbell
NSM       Leszek Piatkiewicz

To 2000

SBS      Debra Preston
ART      Bob Canida
LET       Merrill Miller
EDN      Irene Aiken
EDN      Danny Davis

Faculty Evaluation Review Committee

ART      Bob Britton
ART      Shirley Learn
EDN      Don Little
EDN      Sandra Cross
EDN      Rhoda Collins
LET       Ray Sutherland
LET       Monika Brown
NSM     Gilbert Sampson
NSM     Dennis Edgell
SBS       Frank Trapp
SBS       Michael Hawthorne

Faculty Governance Committee

Nancy Barrineau
Kathleen Hilton
Lillian Brewington
Chet Jordan
Ellen Bryan
Robert Schneider
Suellen Cabe
Ralph Steeds
Tommy Thompson

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX D

CHARTER OF THE FACULTY ASSEMBLY

OF

THE UNIVERSITY OF NORTH CAROLINA

I. OBJECTIVES AND FUNCTIONS

II. ORGANIZATION AND RELATIONSHIPS

III. OPERATIONS

IV. RATIFICATION AND AMENDMENT OF THE CHARTER

---

The foregoing Proposed Charter of the Faculty Assembly of The University of North Carolina was adopted unanimously by the University Faculty Assembly, representing all 16 public institutions of higher education in North Carolina, meeting in Greensboro on April 15, 1972.

John L. Sanders

Chairman of the Assembly


BYLAWS OF THE FACULTY ASSEMBLY

OF THE

UNIVERSITY OF NORTH CAROLINA

I. Definition of Charter

The articles under which the Faculty Assembly came into existence are the Charter of the Faculty Assembly. Bylaws enacted by the Assembly are for the purpose of giving effect to the purpose and functions described in the Charter.

II. Members of the Assembly

A. The Assembly shall be composed of representatives from each institution according to the provisions as stated in Sec. II, Par. 1 of the Charter.

B. The Assembly shall make no determination of the methods of election, those matters being specifically reserved to the faculties of the sever institutions.

C. The terms of delegates and alternates of the Assembly shall range from one (1) to three (3) years as established by each institution, and each institution shall assure continuity of delegation membership by a system of rotated terms. To be eligible as a delegate, a faculty member may not have served as a delegate to the Assembly for more than six (6) of the preceding nine (9) years, nor could he be elected to a term that would result in a violation of this limitation. Time spent while serving as an alternate is not counted in the above limitation.

D. Each institutional faculty shall determine the number of alternate delegates it believes necessary. The terms of Alternates shall correspond to the terms of Delegates.

E. All regular terms of service shall begin and end on July 1 of each year. The Delegate list and authorized Alternates for the coming academic year shall be in the hands of the Assembly Chairman by April 20.

III. Officers

A. The officers of the Assembly shall be a Chairman, a Vice-Chairman, and a Secretary.

B. Each officer shall serve for a term of one year but may be re-elected to two additional succeeding terms in that office, after which he shall be ineligible for re-election to the office for a period of one year.

IV. Senate Executive Committee

A. The Senate Executive Committee consisting of the three (3) elected officers, Chairman, Vice-Chairman, and Secretary, shall be established.

B. The Senate Executive Committee shall be responsible for preparing the agenda for meetings. All matters presented to the Senate Executive Committee by any Assembly Delegate, Assembly officers, or the President of The University of North Carolina shall be placed on the agenda not later that the time of the second regular meeting of the Faculty Assembly after receipt of such a recommendation.

V. Meetings

A. Unless otherwise ordered by the Senate Executive Committee, there shall be at least four stated meetings of the Assembly during the academic year at dates and places to be established at the last regular meeting of the preceding Academic Year. All Assembly members shall be informed of these dates by that time. The regular Fall meeting shall not be scheduled for a date prior to September 1.

B. Special meetings shall be called:

C. The site of the regular meetings of the Assembly shall be determined by majority vote of members present, subject to A above. Special meetings may be held at whatever location seems most advisable to the Chairman.

D. No meetings of the Assembly shall be a legal meeting at which there are present fewer than a majority of the Assembly members.

E. Advance notice of all meetings shall be circulated to members so as to be received at least two weeks prior to the meeting. For special meetings in emergency situations, this provision may be waived by action of the Executive Committee.

F. The agenda for each meeting must be circulated so as to be received at least ten days in advance of the meeting (except in case of emergency as referred to in Section V, E). If an agenda item requires action by the Faculty Assembly, the recommendation shall be submitted to the Secretary by any Assembly member, and the Secretary shall be responsible for distribution of the recommendation with the agenda, or as soon thereafter as possible. The above shall not preclude any Assembly member from performing this distribution without use of the Secretary. No item of business may be acted upon by the Assembly unless the recommendation has been distributed to the Assembly 24 hours before action is to be taken. Except that the 24 hour rule may be waived by EITHER (1) a 2/3 vote of the members present at the meeting during which action is to be taken, OR (2) by virtue of the fact that the item of business requiring Assembly action received a majority vote of a quorum of a Standing or Ad hoc Assembly Committee. The agenda shall be open to all items submitted in time to meet the requirements of this Article.

VI. Voting

A. There shall be no voting by proxy. Only members or their authorized alternates present at the meeting may vote.

B. When voting, and upon the request of any voting member of the Assembly or his authorized alternate, and with the approval of one-fifth of the voting members present, a roll call vote will be held.

VII. Elections

A. It shall be incumbent upon each institution to designate and certify its Assembly members and alternates for the coming academic year on or before April 15.

B. Election of officers for the year shall take place at the last Spring meeting of the Assembly. Officers shall be elected by secret ballot in the following manner:

C. The term of office for officers shall coincide with that specified in II, E for members of the Assembly.

D. An election to fill a vacancy in any office or on the Executive Committee can take place at any regular or special meeting of the Assembly.

VIII. Executive Committee

A. There shall be an Executive Committee consisting of the three officers of the Assembly, one officer from the staff of the University (who shall be appointed by the President of the University and who shall be a non-voting member of the committee), and the chairmen of the standing committees.

B. The Chairman of the Faculty Assembly shall be Chairman of the Executive Committee.

C. The Executive Committee shall review periodically the structure and functions of the standing committees and make recommendations to the Assembly for appropriate changes.

D. The Executive Committee shall assume only such prerogatives and powers as shall be delegated to it by a majority vote of the Faculty Assembly.

IX. Duties of Officers

A. The Chairman shall perform the duties usually associated with this office including, but not limited to, presiding at meetings of the Assembly, generally supervising the activities of the Assembly, appointing members of special committees and, with the guidance of the Executive Committee, appointing members, but not chairmen, of standing committees, and serving as chief liaison officer between the Assembly and the President of the University, the Board of Governors, and other appropriate agencies. If so desired by the President, the Chairman shall serve on the President's Administrative Council.

B. The Vice-Chairman shall perform the duties of the Chairman in the event of the Chairman's absence or disability. In the event that the office of Chairman falls vacant, the Vice-Chairman shall assume that office, and a new Vice-Chairman shall be elected at the next regular meeting.

C. The Secretary shall be responsible for the preparation of the minutes of all meetings and be custodian of the records of the Assembly. He shall be responsible for giving notice of meetingsof the Executive Committee and the Assembly, for circulating the agenda, and for distributing copies of the minutes to the Faculty Assembly and Executive Committee meeting to all Delegates and other designated individuals.

X. Committees (other than Agenda and Executive Committee)

A. Nominations Committee. At its second regular meeting of the year, the Faculty Assembly will elect a nominations committee which will be composed of five members, two of whom will be members of the Executive Committee (and preferably) in their last year on the Assembly and expect not to return. All members will be nominated and elected by the full membership of the Assembly. The Chairperson of the nomination committee will be elected by the committee. This committee shall circulate the slate of at least two nominees for each office of the Assembly and two nominees for each of the chairpersons of the standing committees. These nominees will be presented to the full membership of the Assembly at the third regular meeting of the Assembly. All nominees must have agreed to their nominations prior to election by (to the presentation of this slate to) the Assembly.

B. A Governance Committee, whose responsibility shall be to review and make recommendations on matters relating to the Charter and Bylaws of the Assembly, and to consider and make recommendations on matters including but not limited to the statutes, the Board of Governors, and the General Administration of The University of North Carolina. The parliamentarian of the Faculty Assembly will be an ex-officio advisory member of the committee who will not have voting rights in the committee and who according to Section XI, B shall not necessarily be a member of the Faculty Assembly.

C. A Committee on Professional Development, whose responsibility shall be to review and make recommendations on matters which enhance professional effectiveness of faculty members in the areas of teaching, research, and public service; leaves for professional development, reduced teaching loads for research, and professional travel and relevant concerns.

D. A Committee on Faculty Welfare, whose responsibility shall be to review and make recommendations on those factors which contribute to the professional satisfaction of the faculty. Included among these factors are salaries, fringe benefits, retirement programs, working conditions, and matters related to communications within the University System.

E. A Committee on Academic Freedom and Tenure, whose responsibility shall be to review and make recommendations on matters related to academic freedom and tenure, faculty role in personnel decisions, and the preservation of academic freedom and tenure.

F. A Committee on Budget, whose responsibility shall be to review and make recommendations on matters relating to educational budgets for the State as well as for The University of North Carolina. Responsibilities shall include the making of recommendations on the preparation of the budget and the priorities which lead to allocations to the constituent institutions.

G. Committee on Planning and Programs, whose responsibility shall be review and make recommendations on matters relating to educational planning for the State as well as for The University of North Carolina, including the review and evaluation of programs and the criteria for the initiation or termination of educational programs. The committee shall inform theAssembly of the progress and nature of the five-year programs as developed by the General Administration and the Board of Governors.

H. The Chairman and members of each standing committee shall be members of the Assembly.

I. Ad hoc committees may be appointed by the Chairman of the Assembly as appropriate. The chairman of each ad hoc committee shall be a member of the Assembly, but non-voting members may be co-opted from the student bodies or faculties of the several institutions. Co-opted members of an ad hoc committee may not exceed, in number, Assembly members on the Committee.

XI. Operations

A. The Chairman shall, within a month of assuming office, submit to the President of The University of North Carolina a budget for the Assembly for the year, which shall include a specification of the office space, secretarial assistance, supplies and travel required for the business of the Assembly and its Delegates.

B. The rules contained in the latest revision of Robert's Rules of Order shall govern the Assembly in all cases to which they are applicable when they are not inconsistent with Bylaws or special rules of the Assembly. There shall be a parliamentarian at all meetings and he shall be appointed by the Chairman. (He need not be a member of the Assembly).

XII. Reports

A. The basic record of the actions and deliberations of the Assembly shall be the minutes of meetings kept by, or under the supervision of, the Secretary of the Assembly. Copies of the minutes shall be circulated to all members of the Assembly, the chancellors of the various institutions, the President of the University, the Chairman of the Board of Governors, and such other individuals as the Assembly, President, or Chairman may designate.

B. The delegation from each institution shall submit to its faculty and to the Chairman of the University Faculty Assembly and annual report of the work of the Assembly.

C. Special reports may be prepared from time to time by the Assembly and given such distribution as seems appropriate.

D. The records of the Assembly shall be open to inspection by any regular full-time member of the faculty of each institution and to such other persons as may be given permission by either the Assembly, the President, or the Chairman.

XIII. Attendance

A. Faculty members from the participating campuses are eligible to attend sessions of the Assembly as observers. Faculty or student members of special committees may, as a matter of course, be eligible to attend and participate in those portions of meetings of the Assembly at which matters pertaining to those committees are discussed.

B. Alternate members of the Assembly, unless standing in for a voting member, may participate in discussions of the Assembly only when given privileges of the floor by the Chairman.

C. The President of the University and his designated representatives shall have a standing invitation to attend and participate in the discussions at all meetings. In the event of the absence of these individuals, the Chairman of the Assembly shall communicate the proceedings of that meeting to the President.

D. Other visitors may be admitted to meetings.

XIV. Amendments

A. The Bylaws may be amended by the vote of two-thirds of those voting members present at any meting of the Assembly, provided the substance of the proposed amendment has been circulated in time to be received by all members at least one month prior to the meeting at which action is proposed.

B. No amendment to the Bylaws may have the effect of amending, modifying, or altering the Charter. It shall be the duty of the Executive Committee to insure that such will not be the result. (For amendments to the Charter, see Charter, IV,2.)

February 23, 1973 - Original
July 1, 1974 - Revised
December 5, 1975 - Revised
April 29, 1977 - Revised
April 28, 1978 - Revised
December 4, 1981 - Revised
February 25, 1983 - Revised

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX E

UNIVERSITY COMMITTEES

TEACHER EDUCATION COMMITTEE

      Dr. Ray Von Beatty
      Ms. Sharon Bell
      Dr. Sue Bowden
      Dr. Eugenie Burkett
      Mr. Tommy Clark (Public Schools)
      Dr. Rhoda Collins
      Dr. Swannee Dickson
      Ms. Vicki Griffith (Graduate Student)
      Dr. Kathleen Hilton
      Dr. Saundra Jones (Director,
      Teacher Education Field Experiences)
      Dr. Ann Klesener
      Dr. Donald Little
      Dr. Zoe Locklear

    Mr. Robert Locklear (Undergraduate
      Student)
    Ms. Barbara Lupo (Public Schools)
    Ms. Nan Parnell (Public Schools)
    Dr. Gilbert Sampson
    Dr. Larry Schultz
    Dr. Dennis Sigmon
    Dr. Kathryn Sullivan, Chair
    Dr. Tommy Thompson
    Mr. Mitch Tyler
    Dr. Peter Wish
    1 Undergraduate Students (TBA)

GRADUATE COUNCIL

    Dr. Dan Barbee
    Dr. Ray Von Beatty
    Dr. Mary Boyles
    Dr. Stephen Bukowy                                       
    Dr. Pat Cabe
    Dr. Rhoda Collins
    Dr. Swannee Dickson

Dr. James Frederick
Dr. Donald Little
Dr. Gilbert Sampson
Dr. Kathryn Sullivan, Chair
Dr. William Truman
Dr. Patricia Valenti
Dr. Rudy Williams
Graduate Student (TBA)

UNIVERSITY TECHNOLOGY COMMITTEE

Dr. Larry Arnold
Dr. Andy Ash
Mr. Ollie Bishop
Dr. Mary Boyles
Mr. Kevin Bryant
Shannon Burks, ex officio
Dr. Joe Goldston

        Dr. Wright Killian
        Ms. Jo Ann Pearson
        Mr. Alec Price
        Dr. John Reissner
        Dr. Gilbert Sampson
        Dr. Sharon Sharp
        Dr. Kathryn Sullivan

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX F

ORGANIZATIONAL CHART

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX G

CODE OF CONDUCT

The University of North Carolina at Pembroke is an institution of higher education dedicated to meeting and developing the educational needs of young men and women who will take their places as respectable and trustworthy citizens of their country. It takes for granted that students will not be guilty of unlawful or unworthy conduct. In the event of an infraction against University policies, appropriate disciplinary action will be taken.

The aim of all discipline is two-fold: first, to develop self-control in the individual; and second, to protect the welfare of society. The emphasis is on rehabilitation and re-education rather than punishment per se.

Students who cannot, or will not, abide by the rules of the institution are not welcome at The University of North Carolina at Pembroke. It is suggested that they seek their formal education elsewhere. Too, the institution reserves the right to decline to register students whose past records, either before or after entrance to The University of North Carolina at Pembroke, are such as to indicate social, moral, or scholastic unfitness.

According to the By-Laws of the Board of Trustees of The University of North Carolina at Pembroke, ratified in March of 1968, the Administration of the University is responsible for all phases of student conduct and discipline. The administration holds that a student enrolling in the University assumes an obligation to conduct himself/herself in a manner compatible with the University's function as an educational institution. Further, the Board of Trustees has directed the administration to take appropriate disciplinary action against students and student organizations who are found to be in violation of the University's Code of Conduct. A UNCP student shall refrain from the following prohibited behaviors:

Students are subject to federal, state and local laws as well as University rules and regulations. A student is not entitled to greater immunities or privileges before the law than those enjoyed by other citizens generally. Students are subject to such disciplinary action as the administration of the University may consider appropriate, including possible suspension and expulsion for breach of federal, state or local laws, or University regulations. This principle extends to conduct off campus which is likely to have adverse effect on the University, or on the educational process or which stamps the offender as an unfit associate for the other students.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX H

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

DRUG POLICY

I. Introduction

UNC Pembroke is committed to maintaining an environment that supports and encourages the pursuit and dissemination of knowledge. All members of the academic community share in the responsibility for protecting that environment by exemplifying high standards of professional and personal conduct. All students, staff, faculty, and guests are viewed by the University as individually responsible and legally accountable for their actions. The University is dedicated to providing a work, study, and recreational environment that does not include illegal drugs or excessive use of alcohol. The illegal possession, sale or use of drugs adversely affects the academic community.

The University has developed drug education, prevention, and intervention programs for all members of the campus community, including officers, employees, and students. Members of the University community are encouraged to become familiar with the programs and are invited to take advantage of the services provided and to encourage persons with emerging chemical dependency problems to take advantage of the counseling and intervention programs.

II. Alcohol/Drug Education Programs A. Alcohol Drug Abuse Prevention Team (ADAPT)

ADAPT was initiated in 1988 to provide all members of the University community with coordinated drug-related education, prevention, and intervention services. The term "drugs" includes both legal drugs (i.e., alcohol, prescription drugs, over-the-counter drugs, nicotine, caffeine, etc.) and illegal drugs as covered by the Controlled Substance Act (N.C.G. S. 90-88 et. seq.). ADAPT defines its mission as prevention, early intervention, rehabilitation, referral, and education related to the abuse of alcohol and the use and abuse of controlled, illegal, addictive, or harmful substances.

The ADAPT chairman is a staff member of the Counseling and Testing Center. Team members represent significant expertise, experience, and interest in the areas of drug education and intervention. They include administrators, staff, health services representatives, faculty, students, and community resource people. The ADAPT chairman prepares an annual report for the Chancellor, outlining all drug education, intervention, and enforcement activities at the University during the previous year.

ADAPT coordinates activities that encourage students, faculty, and staff to: Value and maintain sound health and understand how alcohol/other drugs affect it. Respect state/federal laws and University drug regulations. Recognize and resist pressure to use drugs. Promote activities that reinforce the drug-free elements of campus/personal life. Increase consciousness of the incompatibility of drug abuse and maximum achievement of personal and educational goals. Promote the use of available campus and community rehabilitation resources.

IV. Annual Report

The Chancellor will submit an annual report of campus activities related to illegal drugs for the preceding year to the Board of Trustees. A copy of the annual report will also be provided to the President of The University of North Carolina.

V. Health Risks of Psychoactive Drugs

All psychoactive drugs (including alcohol) can produce negative health risks associated with long-term chronic use. In addition, all these drugs can pose serious risks such as abnormal growth, brain damage, and birth defects for the fetus of a pregnant drug-using female. The following is a list of some of these drugs and their related health risks:

Alcohol (medically classified as a depressant)
Central nervous system depression, impaired judgment, mental confusion, gastrointestinal irritation, liver damage, malnutrition, high blood pressure, irreversible brain damage, heart disease, pancreatitis, lowered immunities. Severe birth defects in babies whose mothers use alcohol during pregnancy. Overdose may result in coma and death.

Marijuana
Increased heart rate, lowered body temperature, impaired coordination, slower reaction time, appetite stimulation, weakened immune system, blurred vision, increased risk of breathing difficulties and throat/lung cancer, speech/memory/learning distortions. Long term and regular use may result in the following: mental confusion/disorientation, anxiety, amotivational syndrome, alterations in brain functioning, reproductive system abnormalities, short-term memory loss.

Narcotics (e.g., codeine, heroin, morphine)
Shallow breathing, reduced sex drive, apathy, anxiety, mood swings, nausea, mental confusion, constipation, respiratory depression. Overdose may induce coma, convulsions, respiratory arrest or death.

Stimulants (amphetamines)
Anxiety, agitation, malnutrition, high blood pressure, irregular heartbeat, chronic sleeplessness, amphetamine psychosis.

Cocaine
Anxiety, insomnia, paranoia, weight loss, perforation of the nasal septum, hypertension, seizures, cardiac failure.

Inhalants
Nausea, headaches, perceptual distortions, impaired judgment, irregular heartbeat, weight loss, permanent damage to bone marrow, lungs, liver and kidneys. Death from lung or cardiac arrest is possible after initial or repeated use.

Hallucinogens (e.g., LSD, PCP, and hallucinogenic mushrooms)
Visual distortions, increased heart rate and blood pressure, amotivational syndrome, psychotic episodes, panic disorders, flashbacks. Depressants (barbiturates, e.g., phenobarbital; benzodiazepines, e.g., Librium, Xanax, alium) Central nervous system depression, impaired thinking, staggering gait, visual disturbances, lethargy, allergic reactions, dizziness, nausea.

Rohypnol (flunitrazepam, a depressant in the benzodiazepines class of prescription medications; commonly called "the date rape drug".)
Drowsiness, impaired motor skills, amnesia, inability to recall events. Combined with alcohol or other drugs may lead to respiratory depression, aspiration, and death.

APPENDIX I

THE UNIVERSITY OF NORTH CAROLINA

POLICY ON ILLEGAL DRUGS

I. PURPOSE

The Code of The University of North Carolina describes the University as "an academic community dedicated to the transmission and advancement of knowledge and understanding." The Board of Governors therefore is committed to the maintenance and protection of an environment in which students and faculty members "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." Moreover, it is the obligation of all members of the University community -- faculty, students, administrators, and other employees -- to help maintain an environment where "academic freedom flourishes and in which the rights of each member of the academic community are respected."

A new threat to higher education communities has emerged. Illegal drugs now endanger the health and safety of members of these communities and imperil the integrity of the pursuit of learning. The institutions of The University of North Carolina are not immune to this threat. Illegal drugs now constitute such a serious problem nationwide that within the University system certain specific and uniform University policies are warranted. Success in combating the problem depends ultimately on the cooperative efforts of members of governing boards, students, faculty members, administrators and all other employees. Thus, it is on each campus of the University that a properly balanced program of educational efforts and punitive sanctions must be achieved. Accordingly, to support and assist the constituent institutions of The University of North Carolina in their continuing efforts to meet this threat, the Board of Governors adopts this policy.

II. POLICIES APPLICABLE UNIVERSITY-WIDE

Each Board of Trustees shall adopt a policy on illegal drugs applicable to all students, faculty members, administrators, and other employees. The Board of Governors recognizes that each such policy must address the circumstances and needs of the particular campus. However, the President shall ensure that the policy of each institution incorporates and is fully consistent with the following basic requirements.

III. IMPLEMENTATION AND REPORTING

A. Each Board of Trustees shall adopt a policy on illegal drugs, the provisions of which shall be consistent with the requirements of Section II of this policy. The Chancellorshall file a copy of the campus policy with the President, and notice of any change that may be made in the policy from time to time also shall be filed with the President.

B. To carry out this policy, it generally will be necessary for each campus to revise its current policies and programs. New activities will have to be initiated in some University agencies that heretofore have not had a specific policy on illegal drugs. The President will confer with the Chancellors to determine what additional funding may be needed to make this policy effective, and the President will make recommendations to the Board of Governors by the fall of 1988 for any budget request or increases in fees that may be needed to achieve this objective.

C. Each Chancellor shall designate a coordinator of drug education. This person, acting under the authority of the Chancellor, will be responsible for overseeing all actions and programs relating to the campus policy.

D. Annually, each Chancellor shall submit to the Board of Trustees a report on campus activities related to illegal drugs for the preceding year. The report shall include, as a minimum, the following: (1) a listing of the major education activities conducted during the year; (2) a report on any illegal drug-related incidents, including any sanctions imposed; (3) an assessment by the Chancellor of the effectiveness of the campus program and; (4) any proposed changes in the policy on illegal drugs. A copy of the report shall be provided to the President, who shall confer with the Chancellor about the effectiveness of campus programs. The President periodically shall report to the Board of Governors.

Approved by the Board of Trustees on May 7, 1988.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX J

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

ACADEMIC HONOR CODE

I. OVERVIEW

The University of North Carolina at Pembroke Academic Honor Code sets forth the standards of academic honesty and integrity for students at UNCP and describes attendant faculty responsibilities. Students and faculty are expected to be familiar with its provisions. This Code defines student behavior which violates the standards (Section III), and enumerates the penalties for violations and the circumstances under which such penalties may be imposed (Section IV).

Section V sets forth the procedures for dealing with cases where a violation of the Academic Honor Code is alleged. Those procedures permit a faculty member to address a student's first violation through discussion with the student. If the student freely admits the offense and accepts the penalty assigned by the faculty member, an agreement settling the matter is signed by both, the faculty member imposes the penalty, and the matter ends (Section V. A.). If UNCP records show that the student has previously committed an Academic Honor Code violation, or if the student decides not to admit guilt or accept the penalty, or if the faculty member believes that the seriousness of the offense warrants a more severe penalty than those which may be imposed in the settlement process, the matter must be referred to the Campus Hearing Board (Section V.B.) if any penalty is to be imposed. The Campus Hearing Board hears the evidence from the faculty member and student and determines whether the student did commit a violation. If no violation is found, the matter ends and no penalty may be imposed. If the Campus Hearing Board finds that the student did commit a violation, it determines the appropriate penalty (Section V.C.). A student found guilty may appeal the Campus Hearing Board's decision to the Campus Appeal Board (Section V.D.).

II. STATEMENT OF PRINCIPLES

Academic honor and integrity are essential to the existence of a university community. Without maintenance of high standards of honesty, members of the instructional faculty are defrauded, students are unfairly treated, and society itself is poorly served. Maintaining the academic standards of honesty and integrity is ultimately the formal responsibility of the instructional faculty. To meet their responsibilities when academic dishonesty is suspected, individual faculty members must follow the policies and procedures stated in this Code.

Students are also members of the academic community. As responsible members of the University, students are obligated not to violate the basic standards of honor, and they are expected to take an active role in encouraging other members to respect those standards. Should a student suspect a violation of the Academic Honor Code, he/she should make the suspicion known to a member of the faculty or University administration.

Commitment to maintaining and encouraging high standards of academic honesty and integrity is demonstrated in many ways. One manifestation is the policies and procedures governing violation of the standards. Herein contained are the provisions of the UNCP Academic Honor Code.

III. DEFINITIONS OF VIOLATIONS

Definitions and/or examples of violations of the Academic Honor Code are as follows.

A. CHEATING:

Intentionally using or attempting to us unauthorized materials, information, notes, study aids or other devices in any academic exercise. This definition includes unauthorized communication of information (oral and/or written) or receipt of such information during an academic exercise.

B. PLAGIARISM:

Intentionally or knowingly presenting the work of another as one's own (i.e., without proper acknowledgement of the source).

C. FABRICATION AND FALSIFICATION:

Intentional and unauthorized alteration or invention of any information or citation in an academic exercise. Falsification is a matter of altering information, while fabrication is a matter of inventing or counterfeiting information for use in any academic exercise.

D. ABUSE OF ACADEMIC MATERIALS:

Intentionally or knowingly destroying, stealing, or making inaccessible library or other academic material.

E. COMPLICITY IN ACADEMIC DISHONESTY:

Intentionally or knowingly helping or attempting to help another to commit an act of academic dishonesty.

IV. PENALTIES

All acts of academic dishonesty violate standards essential to the existence of an academic community. Some first offenses are properly handled and remedied by the faculty member teaching the specific course in which they occur. The faculty member must use the settlement procedure described in Section V to handle such an offense. The penalties which may be assessed are limited to the following: (a) a formal warning/reprimand, (b) a reduced grade (including F) for the assignment, (c) a reduced grade (including F) for the entire course. Whatever the penalty, a signed form regarding the settlement will be kept for five years (or until the student graduates) in the Office for Student Affairs. The purpose of this record-keeping is to be sure students who violate the Academic Honor Code a second time are dealt with appropriately. A second purpose is to deter students from repeating offenses.

All second offenses and some first offenses have import beyond the specific course in which the violation occurred. The Campus Hearing Board handles such violations, and the possible penalties are greater. In these cases the Campus Hearing Board may impose any of the penalties listed above (a,b,c) and/or the following: (d) disciplinary suspension from the University for a designated period of time (one semester, one year, etc.); or (e) dismissal from the University for an indefinite period of time.

In all determinations of penalty, the following factors should be considered:

V. PROCEDURES FOR HANDLING CASES

A faculty member responsible for assigning final grades in a course may acquire evidence directly or through information supplied by others that a student violation of the Academic Honor Code may have occurred. After collecting the evidence available, the faculty member should determine whether it warrants proceeding to the next level of inquiry.

If the faculty member determines that the evidence is sufficient, he/she should contact the Vice Chancellor for Student Affairs, who will determine from his records whether the student has previously admitted to or been found guilty of an Academic Honor Code violation. If the suspected violation would be a second offense, the faculty member must take the case to the Chairperson of the Campus Hearing Board. If the suspected violation would constitute a first offense but one which the faculty member considers the appropriate penalty to be more severe than F in the course, the case must be brought to the Chairperson of the Campus Hearing Board. If the faculty member believes, however, that the suspected violation would be remedied by a penalty no greater than F in the course, the settlement procedure may be used to conclude the matter and provide a record (see Section IV. Penalties).

Once a student has received notice that he/she is charged with an Academic Honor Code offense, the student is not permitted to withdraw from the course in order to avoid the appropriate penalty.

A. SETTLEMENT PROCEDURE

The faculty member meets with the student and presents the evidence of an Academic Honor Code violation, then requests an explanation from the student. After hearing the explanation, if the faculty member determines that a violation has occurred, he/she fills out and signs the approved form distributed to all faculty members, noting the penalty to be applied, and gives the form to the student. The student has three school days to consider and seek advice on whether to admit guilt and accept the penalty by signing that form. If the student agrees to sign, he/she does so in the presence of the faculty member who thenimplements the penalty. The faculty member forwards the settlement form to the Vice Chancellor for Student Affairs, who keeps a record of first offenses for five years (or until the student graduates), and thus the matter is ended. If the student decides not to admit guilt or not accept the penalty, the faculty member must take the case to the Chairperson of the Campus Hearing Board, if any penalty is to be imposed.

B. CAMPUS HEARING BOARD

The Campus Hearing Board is made up of three faculty members and one administrative member appointed by the Chancellor of the University, and three students appointed by the President of the Student Government Association. The conduct of Hearings is outlined in Article IV, Section C.2 of The University of North Carolina at Pembroke Student Constitution.

Where a student is not found in violation of the Academic Honor Code, a written report is prepared and sent to the Vice Chancellor for Student Affairs, who will maintain a confidential file of materials related to the case. No part of the file becomes part of the student's disciplinary record. The case is closed, and no penalty may be imposed.

Where a student is found guilty of violating the Academic Honor Code, the Campus Hearing Board determines the appropriate penalty. Both student and faculty may submit evidence and make statements concerning the appropriate sanctions to be imposed. The Vice Chancellor for Student Affairs will supply the student's previous Academic Honor Code disciplinary record.

At the conclusion of the evidence on the appropriate penalty, the Campus Hearing Board determines the penalty, and prepares a written report to the student and the Vice Chancellor for Student Affairs, who notifies the faculty member and the Provost and Vice Chancellor for Academic Affairs of its contents. If a penalty of a grade of F in the course or less is to be assigned, the faculty member imposes that penalty determined by the Campus Hearing Board and no other penalty. If a greater penalty is deemed appropriate, the Vice Chancellor for Student Affairs implements the penalty indicated in the report. The student will be notified within five days of the Campus Hearing Board's determination of penalty.

C. CAMPUS APPEAL BOARD

A student found guilty has the right of appeal, and is permitted five school days from the date the student receives notice of the report of the Campus Hearing Board to file a written notice of appeal with the Vice Chancellor for Student Affairs. Failure to do so will render the decision of the Campus Hearing Board final and conclusive.

If the request for appeal has been timely filed, the Vice Chancellor for Student Affairs shall deliver this request as well as materials related to this case to the Campus Appeal Board.

The composition of the Campus Appeal Board and its adjudicatory powers are described in Article V, Section C.1 of The University of North Carolina at Pembroke StudentConstitution. For Academic Honor Code violations and their appeals, the Provost and Vice Chancellor for Academic Affairs or his designate will represent the Chancellor for the University.

VI. ADVICE TO THE FACULTY

SETTLEMENT OF A CHARGE OF ACADEMIC DISHONESTY

NOTICE TO STUDENT

1. You are not required to sign this form.

2. If you do not sign this form, you have a right to a hearing before a neutral student-faculty panel before any disciplinary penalty may be imposed for the offense charged.

3. You have three school days to seek advice and decide whether to sign. You may discuss your decision with any person you choose.

4. If you do not sign this form or ask for a hearing within three school days, a hearing will be scheduled. You will be notified of this hearing at least five school days before it is scheduled. Failure to appear at this hearing will be construed as admission of guilt.

5. If you sign, you are admitting guilt and accepting the penalty shown.

6. If you sign, this form is kept on record for five years or until you graduate and may be used in determining penalty if you are convicted of or admit to another honor code offense. This settlement form is not disclosed to prospective employers or to other schools to which you may apply.

INSTRUCTOR

I __________________________________charge with an Academic Honor Code violation which occurred in my course ____________________________(course no.________ ) during the ______________semester/session, 19 _____(Provide a brief description of the facts believed to constitute the violation; continue on back if necessary):

If student admits guilt by signing this form, I will apply the following penalty only: _______________
___________________________________________________________________________
___________________________________________________________________________

Signed: (Instructor) ________________________Date____________ Time ________________

STUDENT

I have read this entire settlement form carefully and understand its significance. I admit to committing the offense charged by the instructor, accept the penalty assigned, and understand that this agreement will be kept in the first offender's file for five years or until graduation.

Signed: (Student)______________________________ Date __________________________

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX K

SEXUAL HARASSMENT PREVENTION PLAN

POLICY STATEMENT

SEXUAL HARASSMENT - POLICY OF THE STATE OF NORTH CAROLINA

The policy of the State of North Carolina is that no state employee may engage in conduct that falls under the definition of sexual harassment indicated below. Personnel decisions shall not be made on the basis of granting or denial of sexual favors. All employees are guaranteed the right to work in an environment free from sexual harassment. Sexual harassment shall henceforth be deemed a form of sex discrimination prohibited by North Carolina General Statutes l26-16.

Sexual harassment is defined as deliberate, unsolicited, and unwelcome verbal and/or physical conduct of a sexual nature with sexual implications by a supervisor or co-worker which: 1) has or may direct employment consequences resulting form the acceptance or rejection of such conduct; 2) creates an intimidating, hostile or offensive working environment; or 3) interferes with an individual's work performance. Sexual harassment does not include personal compliments welcomed by the recipient, or social interaction or relationships freely entered into by state employees or prospective employees.

STATEMENT FROM THE CHANCELLOR

UNCP POLICY PROHIBITING SEXUAL HARASSMENT

The University of North Carolina at Pembroke is committed to providing a place where employees and students can work and study without concerns about sexual harassment. As Chancellor, I take this commitment seriously and affirm my support of the UNCP Policy Prohibiting Sexual Harassment. I ask for your continued support of our efforts to educate the university community about sexual harassment and to eliminate its presence on the UNCP campus.

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

POLICY PROHIBITING SEXUAL HARASSMENT

The University of North Carolina at Pembroke is committed to ensuring an environment for all students and employees which is fair, humane and respectful. The University supports and rewards student and employee performance on the basis of relevant considerations such as ability and effort. Any behaviors which indicate that sexuality is a relevant criterion for evaluating student or employee performance are detrimental to the work/study environment. Sexual harassment by any member of the University is a violation of both law and University policy, and it will not be tolerated in the University community. Sexual harassment is a particularly sensitive issue and as such will be dealt with promptly and confidentially by the University administration.

Definition (from the EEOC Interpretive Guidelines on Discrimination Because of Sex Under Title VII)

"Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:

Harassment of employees on the basis of sex is a violation of Section 703 of Title VII of the Civil Rights Acts of 1964. Harassment of students is a violation of Section 902 of Title IX of the Education Act of 1972. Sexual harassment is also prohibited by North Carolina General Statutes 126-16.

Examples of behaviors which may constitute sexual harassment include (but are not limited to):

Verbal - sexual innuendo or suggestive comments; inappropriate jokes about sex or gender-specific traits; demeaning references to gender; unwelcome emphasis on an individual's sexual identity; offensive written communications, including sexual propositions, insults or threats; persistent, unwanted attempts to turn a professional relationship into a personal one;

Nonverbal - leering, suggestive or offensive gestures or sounds; showing of materials that are either sexual or sexist in nature; and

Physical - touching (for example, brushing, patting, pinching); sexual relations coerced through the use of threats or quid pro quo proposals (either explicit or implicit).

Statement of Policy

The University of North Carolina at Pembroke prohibits sexual harassment among any members of the university population. Sexual conduct is considered harassment if it is tied in any way to decisions about academic success or personal advancement; or if it suggests a "discriminatory hostility" towards any person based on gender.

The University of North Carolina at Pembroke's policy seeks to address sexual harassment which results from one person's insensitivity to another as well as harassment which is more obviously abusive. Therefore, the goals of the policy are to promote public awareness and education; to provide mechanisms to deal promptly and fairly with problems; and to protect the rights of both the complainant and the accused.

Sexual harassment, in both obvious and subtle ways, may profoundly affect the lives of individuals. A person who is subjected to unwanted sexual attention may submit to this behavior out of fear of retaliation or reprisal or may withdraw from a course or resign from a job as a result. Through its sexual harassment policy procedures, The University of North Carolina at Pembroke seeks to provide alternative means of problem resolution. In some cases a person may not be aware that his or her behavior is inappropriate or offensive, or a person's words or actions may be misinterpreted. In either case, these misunderstandings must be resolved so that they do not interfere with educational or administrative processes.

Sexual harassment often occurs in situations in which one person has power or authority over another (faculty-student, supervisor-staff, administrator-faculty). It can also occur among peers (student-student, staff-staff, faculty-faculty, etc.). Sexual harassment may involve members of the opposite sex or members of the same sex. Sexual relationships between faculty and students or supervisors and staff involve power differentials. Consequently, if a charge of sexual harassment is brought as a result of faculty-student or supervisor-staff relationships, the defense of mutual consent may be difficult to prove given this power differential.

It is also possible that unfounded allegations of sexual harassment may be made: such charges are slander or libel. The University does not condone either sexual harassment or unfounded charges of sexual harassment.

PROCEDURES

There are three types of procedures for dealing with problems of sexual harassment. They are counseling, mediation and formal grievance. These procedures are not sequential; that is, a complainant may enter or leave the process at any stage.

Sexual Grievance Advisors are available for the counseling and mediation steps. These Advisors are faculty and staff members who are known to be able to maintain confidentiality, who are familiar with laws and policies concerning sexual harassment, and experienced in counseling or advising. Their names, telephone numbers and office locations will be widely publicized each year.

Counseling. Advisors will be available to listen empathetically and provide emotional support complainants. The Advisors will also help to determine if the behavior of the accused person is indeed sexual harassment.

Mediation. At the request of the complainant, an Advisor will discuss the problem with the accused.

The goal of mediation, through counseling and education, is to persuade the accused to discontinue the harassing behavior. An equally important goal is to prevent retaliation against the complainant (for example, in grades, salary, promotion).

A written record of the mediation effort will be kept in a strictly confidential file by the University Affirmative Action Officer. The accused person may also submit a statement to become a part of the record. If a pattern of behavior on the part of an individual is observed, then disciplinary action may be taken even if complaints against that individual have been resolved through mediation.

If the complaint cannot be satisfactorily resolved by mediation, then a formal grievance may be filed. Using the informal procedure of mediation does not in any way preclude the filing of a formal grievance.

Formal Grievance Procedures

A formal grievance may be filed as a first step by a complainant in seeking redress in a case of sexual harassment or after the mediation process has been attempted. Disciplinary action may range from a written reprimand to other actions such as suspension or even dismissal.

The procedures to be followed in filing a grievance will differ depending on the classification or level of the members of the university community involved in the grievance.

If the complainant is a student, procedures outlined in the Student Sexual Harassment Grievance Procedures policy shall apply.

If the grievance involves only faculty members, the Faculty Grievance Committee will have jurisdiction.

If the grievance involves only SPA employees, the SPA Employees Grievance Committee will have jurisdiction.

If the grievance involves only EPA non-faculty employees, the Chancellor will appoint a special hearing committee.

If the grievance involves members of different factions of the university community, the Chancellor will appoint a hearing committee consisting of six members to represent fairly the parties to the grievance. The Chancellor will appoint the chair of the committee.

A petition for redress of grievance should be submitted to the chair of the appropriate committee (Campus Hearing Board, Faculty Grievance Committee or SPA Employees Grievance Committee) when the parties to the grievance are from the same constituency; or to the Vice Chancellor (for Academic Affairs, Business Affairs or Student Affairs) appropriate to the status of the grievant when the status of the parties to the grievance differs. The Chancellor will be notified at this stage if a special committee needs to be formed.

The grievance petition should set forth the nature of the grievance and the individual against whom the grievance is directed; the grounds upon which the grievance is based; affirmation that attempts to resolve the grievance through mediation have failed when such attempts have been made; and any other information that the petitioner considers pertinent to the case.

Sanctions against persons guilty of sexual harassment may include, but are not limited to a written reprimand which becomes a part of the record, suspension, or dismissal. Recommendations for sanctions are made by the committee hearing the complaint. The final determination of disciplinary action rests with the Chancellor.

SEXUAL ASSAULT POLICY

Philosophy

The University of North Carolina at Pembroke is committed to providing a safe and secure environment for students. To this end, the University recognizes the importance of its role in assisting a student who is a victim of sexual assault in regaining a sense of personal control over her life and the decisions she makes.

Procedures for Victims Alleging Sexual Assault

A student who is a victim of sexual assault should immediately report those offenses to the proper authorities (Campus Police or local law enforcement agency). The well being of a student who has been sexually assaulted is a vital priority. The sooner a sexual assault is reported, the sooner the victim can be treated, tested for pregnancy and sexually transmitted diseases. A victim of sexual assault is reminded to go to a safe place. It is very important to preserve all physical evidence; therefore, the victim should not bathe, shower, douche or change clothes. This evidence is extremely important if your case goes to court. Calling a friend, family member and/or rape crisis companion to be with you for emotional support is encouraged. The University (Student Health Service or Campus Police) will provide transportation to the hospital emergency room. A victim of sexual assault should certainly seek the service of the University Counseling Center or a local rape crisis center. They have trained professionals who can help you and your family members deal with the aftermath of the assault.

Services to Victims

A survivor/victim of a sexual assault will be provided with support throughout the process of her deliberating whether or not to formally report the crime, have a medical examination, change her room assignment or class schedule, seek professional counseling, change availability of directory information, etc. This support will be provided by certain University agencies/disciplines that have been identified as available for assistance to a victim of sexual assault. Further, these University agencies will be available to inform the victims of other resources and service providers in the local community.

Rights of Alleged Assailants

Any student enrolled at UNCP who is accused of sexual assault, will be afforded full procedural due process in the investigation and adjudication of his case. This shall include the right to the presumption of innocence until proven guilty and the privilege against self-incrimination.

UNCP Student Code of Conduct

A UNCP student who has been victimized by sexual assault may seek redress through the campus judicial system if the accused is also an enrolled student at the University. Such redress may be in conjunction with or in place of pressing charges in the court system. In order to cite a student internally for sexual assault, the victim should report the offense to the Vice Chancellor for Student Affairs or his designee. Once the report is made, an investigation will be initiated by the Vice Chancellor for Student Affairs. The Campus Hearing Board will be convened in cases where the accused denies the charges. The victim will be required to appear before the Campus Hearing Board and to testify against the alleged assailant. Both students may have a friend/advisor from the campus community present with them throughout the hearing process and may present witnesses on their behalf.

Immediate suspension of the accused student will occur if the Vice Chancellor for Student Affairs concludes that the person's continued presence at the University would constitute a clear and present danger to the health or welfare of other members of the University community. When such a suspension is imposed, a hearing of the charges against the suspended person shall be held as expeditiously as possible.

The penalty for a student found guilty of sexual assault will at minimum be conditional probation, with the maximum penalty being suspension or expulsion from the institution. In severe cases involving forced rape and/or physical injury involving a weapon, the penalty will be expulsion. The severity of the offense and the potential for subsequent harm to the victim/survivor or the community at large weigh heavily in sanctioning actions taken in such cases. The victim's/survivor's identity and all information concerning the offense are held in strict confidence by hearing authorities under the guidelines of FERPA. The accuser and the accused shall be informed of the outcome of any campus judicial proceedings relative to sexual assault cases.

Room and Class Change Options

A survivor/victim of a sexual assault may request an immediate room change from the Director of Housing if she feels threatened or compromised at her current residence. A room change will be approved if alternative space exists. The student may also request a lock change and new telephone number if the assailant had knowledge or previous access to those items. The victim may also sign a request form in the Registrar's Office to remove her directory information from public access.

A survivor/victim of a sexual assault may also request the Provost and Vice Chancellor for Academic Affairs to change her class schedules. Such requests will be honored when multiple sections of classes are available. Every effort should be made by the University to make the victim feel cared for and safe.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX L

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

SMOKING POLICY

Smoking is prohibited in all campus buildings. While dormitories are exempt from this policy, smoke-free floors or sections are available for students who prefer such accommodations.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX M

THE UNIVERSITY OF NORTH CAROLINA AT PEMBROKE

FACULTY AND ADMINISTRATION

SUMMARY OF SERVICES AND RESPONSIBILITIES

Absences and Attendance (Students) Office for Student Affairs;
Individual Professors
Academic Advising Office of Assistant Vice Chancellor for Academic Affairs;

Chair of Appropriate Department; Director of Freshman Seminar and Academic Advising

Academic Programs Office for Academic Affairs;
Chair of Appropriate Department
Admissions
New students and transfers
Readmission of students in good standing
Readmission of students not in
good standing (for academic reasons)
Readmission of students not in good
standing (for non-academic reasons)
Office of Admissions
Advisement and Retention Office of Freshman Seminar and Academic Advising
Affirmative Action Assistant to the Chancellor
Alumni Office of Alumni Relations
Athletics
  Intercollegiate
  Intramurals

Director of Athletics
Director of Intramurals
Books, purchase of Campus Bookstore
Budgets Office for Business Affairs
Calendar of Events Office for Student Affairs;
Office for Academic Affairs;
Performing Arts Center
Career Counseling Career Services Center
Catalog, preparation of Office of University Relations
Catalogs of other colleges and universities Counseling & Testing Center;
Career Services Center;
Office of the Registrar
Certification (teacher) Office of Teacher Education
Chancellor's List Office for Academic Affairs
Chancellor's Scholars Program Office for Academic Affairs
Cheating Instructor;
Office for Academic Affairs;
Office for Student Affairs
Class schedules
  Coordination
  Preparation
  Distribution

Office for Academic Affairs
Appropriate Department Chair
Office of the Registrar
Classroom Assignment and Changes Office for Academic Affairs
College Opportunity Program Office of Director of COP
Commencement Activities Office for Student Affairs
Computer Center(Academic and Administrative) Director of University Computing and Information Services
Correspondence Credits Office of the Registrar
Counseling and Advising

  Career
  Personal
Under supervision of Vice Chancellor
  for Student Affairs
Career Services Center
Counseling and Testing Center
Cultural Programs Performing Arts Center Office
Degree Programs Chair of Appropriate Department
Disciplinary Problems (Students) Office for Student Affairs
Dormitories and Student Housing Office for Student Affairs
Employment (student)
  Campus part-time jobs
  Off-campus, part-time jobs
  Senior Placement

Office of Financial Aid
Career Services Center
Career Services Center
Enrollment Statistics Office of Director of Institutional Research
Evening Courses and Schedules Office of Director of Continuing
Education and Summer Session
Examination Schedules Office for Academic Affairs
Facilities See Space
Faculty Handbook Office for Academic Affairs
Faculty Travel Chair of Appropriate Department;
Office for Academic Affairs
Fees - Accounts Student Accounts Receivable
Field Trips and Excursions,
Scheduling of
Office for Student Affairs
Financial Aid to Students Office of Financial Aid
First Aid Infirmary
Food Service Manager of Marriott Food Service;
Office for Business Affairs
Fraternities Office for Student Affairs
Fundraising Office of Development
Gifts Office of Development
Government: Student Office of Director Student Activities;
President, Student Government
Grades and Academic Records Office of the Registrar
Graduation Requirements Office of the Registrar
Graduate Studies Office of Dean of Graduate Studies
Grants (Proposals)
Grants (Accounting)
Office of Grants
Controller's Office
Grants and Fellowships for
  Graduate & Professional
Office for Academic Affairs;
Department Chairs; Advisors;
Office of Career Services Center
Health Professions Advisors Biology, Health, PE & Rec., Nursing,
  and Physical Science Depts.;
Special Services
Health Services and First Aid University Infirmary;
Office for Students Affairs
Homecoming Office of Student Affairs;
Office of Alumni Relations
Honors List Office for Academic Affairs
Honor System Office for Student Affairs
Honors Program/ Chancellor's Scholars Program Office for Academic Affairs
Housing, Student Office for Student Affairs
Insurance - Health, Life Human Resources Office; University Infirmary
Jones Health & PE Center, scheduling of Facility Manager of Jones Health & PE Center
Judicial Procedures, student Office for Student Affairs
Library Services Director of Library Services
Lost and Found Office for Student Affairs
Mail University Post Office
Maintenance and Janitorial Director of Physical Plant
Majors, changing of Academic Advisor;
Chair of Academic Depts
Media Center Services Director of Media Center
Musical Organizations and Programs Department of Music
Native American Resource Center Director/Curator of Native American Resource Center
News Releases Office of University Relations
Nursing Program Director of Nursing Program
Organizational Leadership and Management Program Director of Organizational Leadership
and Management
Parking University PoliceOffice
Payroll Controller's Office
Pembroke Magazine Pembroke Magazine Editor; Department of Communicative Arts
Performing Arts Center,
  scheduling of
Director of PAC;
Office for Student Affairs
Physician for Students University Infirmary Physician
Placement Office of Director of Career Services Center
Printing and/or Duplicating Printing Department Manager
Publications
UNCP Catalog
UNCP Today
Office of University Relations
Public Relations Office of University Relations
Purchasing Office of  Business Services
Records (student) Office for Student Affairs;
Office of the Registrar;
Student Health Services
Registration Office of the Registrar
Religious Life Activities Office for Student Affairs;
Campus Ministry Office
Residence Status Office of Admissions
Resignation of Faculty Office of the Chancellor
Resignation of Staff Human Resources Office
Retirement Benefits, Faculty and Staff Human Resources Office
ROTC Programs
  Air Force ROTC Program
  Army ROTC Program

Director of AFROTC
Director of AROTC
Security University Police Office
Director of Safety
Social Activities, scheduling
  of and arranging for facilities
Office of Director of Student Activities
Sororities Office of Director of Chavis University Center
Space
  Reservations (on-campus groups)
  Reservations (off-campus groups)

Office for Academic Affairs
Office for Student Affairs
Sports Information Office of Sports Information
Student Activities Office of Director of Student Activities
Student Publications

  Newspaper and Yearbook
Under supervision of Vice Chancellor
  for Student Affairs
Office for Student Affairs
Summer Orientation
  Registration
Office for Student Affairs
Office of the Registrar
Summer School Programs and Bulletin Office of Continuing Education,
  Extension and Summer Session
Supplies Central Stores;
Student Supply Store
Teacher Certification/Licensure Office of Teacher Education
Teaching Fellows                                         Office of Director of Teaching Fellows
Technical Institute Liaison Office for Academic Affairs
Telephone Service Office of University Computing Services
Tests (ACT, SAT, MAT) Counseling and Testing Center
Transcripts Office of the Registrar
Transfer Credit Office of the Registrar
Tutoring Special Services Office;
College Opportunity Program Office
Typing Services Respective Department Secretary
UNCP Endowment Fund Vice Chancellor for Business Affairs
UNCP Foundation, Inc. Vice Chancellor for Development and University Relations
Upward Bound Special Services Office
Vandalism Office for Student Affairs;
Office for Business Affairs;
Campus Security Office
Vehicles Office for Business Affairs
Veterans' Benefits, Information Office of Financial Aid
Visual Aids, ordering of films and
scheduling use of projection room
Director of Media Center
Withdrawal from the University Office of the Registrar
WNCP-TV Director, Office of Telecommunications
Workers' Compensation Human Resources Office

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX O

POLICY OF THE BOARD OF GOVERNORS

OF THE UNIVERSITY OF NORTH CAROLINA

CONCERNING

IMPROPER RELATIONSHIPS BETWEEN STUDENTS AND EMPLOYEES

The University of North Carolina does not condone amorous relationships between students and employees. Members of the University community should avoid such liaisons, which can harm affected students and damage the integrity of the academic enterprise. Further, sexual relationships between unmarried persons can result in criminal liability. In two types of situations, University prohibition and punishment of amorous relationships is deemed necessary: (1) When the employee is responsible for evaluating or supervising the affected student. (2) When the student is a minor, as defined by North Carolina law. The following policies shall apply to all employees and students of the sixteen constituent institutions.

A. Prohibited Conduct

B. Definition of Terms

C. Corrective Action

Violations of the provisions of Section A shall be addressed in accordance with remedial measures prescribed by each constituent institution; if disciplinary action is brought against an affected employee, it shall be conducted in accordance with existing institutional policies and procedures prescribed for prosecuting misconduct charges against members of the class of employment of which the affected employee is a member.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998


APPENDIX P

PATENT AND COPYRIGHT POLICIES

I. Policy

The University of North Carolina is dedicated to instruction, research, and extending knowledge to the public (public service). It is the policy of The University to carry out its scholarly work in an open and free atmosphere and to publish results obtained therefrom freely. Research done primarily in anticipation of profit is incompatible with the aims of The University. The University recognizes, however, that patentable inventions sometimes arise in the course of research conducted by its employees and students using University facilities. The Board of Governors of The University of North Carolina has determined that patenting and licensing of inventions resulting from the work of University personnel, including students, is consistent with the purposes and mission of The University.

The aim of the patent policies of The University is to promote the progress of science and the useful arts by utilizing the benefits of the patent system consistent with the purposes for which it was established by Article I, Section 8, of the Constitution of the United States:

The Congress shall have power...To promote the progress of science and useful arts by securing for limited times to authors and inventors the exclusive right to their respective writings and discoveries.

Patents provide a means to encourage the development and utilization of discoveries and inventions. These policies have been established to ensure that those inventions in which The University has an interest will be utilized in a manner consistent with the public good through patents, licenses, or otherwise. The University is also aware of the value of patents in directing attention to individual accomplishment in science and engineering. Where possible, The University should make inventions resulting from its research available to industry and the public on a reasonable and effective basis and at the same time provide adequate recognition to inventors. Patents and their exploitation, however, represent only a small part of the benefits accruing to the public from the research program of The University.

A portion of the research conducted by The University is supported by government and a portion by private industry. Service to the public, including private industry, is an integral part of The University's mission. In agreements with private industry or other private organizations, the constituent institutions of The University must keep the interests of the general public in view. The rights and privileges set forth in cooperative agreements or contracts, with respect to patents developed as a result of research partly or wholly financed by private parties, must be fair and just to the inventor(s), the sponsor and the public. Research should be undertaken by The University under support from private parties only if it is consistent with and complementary to The University's goals and responsibilities to the public.

II. Objectives

The principal objectives of The University of North Carolina Patent and Copyright Policies set forth herein are:

III. Coverage

The University of North Carolina Patent and Copyright Policies apply to all University employees at each constituent institution, both full and part time, including faculty, other professionals exempt from the Personnel Act, staff subject to the Personnel Act, and students of each constituent institution. Upon prior written agreement between persons and the constituent institutions, these Policies may be applied to persons not associated with The University who make their inventions available to the institutions under circumstances where the further development and refinement of the inventions are compatible with the research programs of the constituent institutions.

IV. Patent Ownership

Condition of Employment and Enrollment

The Patent and Copyright Policies of The University of North Carolina, as amended from time to time, shall be deemed to be part of the conditions of employment of every employee of each constituent institution, including student employees, and of the conditions of enrollment and attendance by every student at each constituent institution.

Ownership

With the exception of "Inventions made on Own Time," hereinafter defined, every invention or discovery or part thereof that results from research or other activities carried out at a constituent institution, or that is developed with the aid of the institution's facilities, staff, or through funds administered by the constituent institution, shall be the property of the constituent institution and, as a condition of employment or enrollment and attendance, shall be assigned by the University inventorto the constituent institution in a manner determined by the constituent institution in accordance with these Policies.

Patent Application

Patents on inventions made by University employees or students, may be applied for in any country by the constituent institution or through an authorized agent(s) or assignee(s). The constituent institution shall exercise its rights of ownership of such patent(s), with or without financial gain, with due regard for the public interest, as well as the interests of inventors and sponsors concerned.

Inventions Made on Own Time

Inventions or discoveries made by University personnel or students entirely on their personal time and not involving the use of University facilities or materials are the property of the inventor except in case of conflict with any applicable agreement between the institution and the federal or state government or agency thereof. For purposes of this provision, an individual's "personal time" shall mean time other than that devoted to normal or assigned functions in teaching, extension, University service, or direction or conduct of research on University premises or utilizing University facilities. The term "University facilities" shall mean any facility, including equipment and material, available to the inventor as a direct result of the inventor's affiliation with the University, and which would not be available to a non-University individual on the same basis.

Personnel or students who claim that inventions are made on personal time have the responsibility to demonstrate that inventions so claimed are invented on personal time. All such inventions shall be disclosed in accordance with the institutions's disclosure procedures applicable to inventions made on University time or with the use of University facilities, materials or equipment, and shall demonstrate the basis of the inventor's claim that only personal time was utilized. In each instance so demonstrated to conform to the definition of personal time, the institution shall acknowledge in writing that the invention is the sole property of the inventor in accordance with the "waiver" provision, below.

If the inventor so desires, inventions or discoveries made on personal time and utilizing the inventor's own facilities and materials may be assigned to the institution. Under this arrangement, the procedures will be the same as for inventions or discoveries made by university personnel on University time and/or with the use of University facilities and materials.

Waiver and Release of University Rights

Pursuant to these Policies and to its patent procedures, a constituent institution, after consultation with the inventor, shall cause its rights to subsequent patents, if any, to be waived to the inventor if the institution is convinced that no University facilities, time, or materials were used in the development of the discovery or invention, that it was made on personal time, and that such waiver would not conflict with any pertinent agreement between the institution and a sponsoring agency or agencies.

Pursuant to these Policies and to its patent procedures, a constituent institution, after consultation with the inventor, may it its discretion and upon such terms as it deems appropriate, cause its rights to the discovery or invention, if any, to be released and waived to the inventor if the institution is convinced that the discovery or invention is clearly one that is non-patentable, that it does not warrant further evaluation as to patentability, or if the discovery or invention has been returned to the institution after negative evaluation by the institution's agent(s).

V. Income from Patents

The Inventor

The inventor shall receive not less than fifteen percent (15%) of the gross royalties derived from licensing or income from assignment or sale of each patent resulting from his invention and owned by the constituent institution pursuant to these Policies. With the limitation, the exact proportion shall be determined in accordance with the institution's patent procedures as approved by the institution's Board of Trustees and the President.

The Institution

Income earned by each constituent institution from its patent and licensing activity shall be held in a separate trust fund by that institution to support research. The particular unit of the institution employing the inventor or furnishing the research facilities will be given preferential consideration, though not necessarily exclusive consideration, in the allocation of such royalty income by the institution. Allocations from such trust funds shall be made by the Chancellor of each institution after receiving recommendations from the institutional Patent Committee.

VI. Specific Conditions Governing Sponsored Research

Government Sponsored Research

Patents on inventions arising from research financed by the United States Government may be controlled by the terms of the grants and contracts specified by the government agency pursuant to Federal law. In some cases, the government claims rights to patents resulting from research financed under contracts supported by government agencies. Except as provided by Federal law or by government-supported grants or contracts, or when no patent rights are claimed by the United States Government, or when such rights are waived by the government, patents arising from government sponsored research are controlled by these Patent and Copyright Policies. When a patent arising out of research supported under government grants or contracts is owned by a constituent institution, that institution will, if requested, agree to a non-exclusive royalty-free license for use by the government of such patent. If such a patent is owned by the government, the institution shall be free to use the invention so covered for its own scientific and educational purposes without payment of royalty or other charge, consistent with Federal Law.

University Research Sponsored by Non-Governmental Entities

The University must ensure that its facilities and the results of the work of its employees are applied in a manner which best serves the interests of the public. Likewise, the legitimate interests of a private sponsor who provides financial or other support to research carried out through the constituent institutions must be considered. Constituent institutions should normally reserve the right to ownership of patents on inventions arising out of research supported in whole or in part of grants or contracts with nongovernmental organizations or firms. Contracts or agreements which are entered into between institutions and such organizations or agencies should contain clauses setting forth such a reservation unless deviations therefrom are requested by the sponsor and approved by the institution consistent with the public interest. In the interest of fair treatment to the sponsor in consideration for the sponsor's investment and in the interest of discharging the institution's obligation to the public in the application of its facilities and its employees' time and talent, special provisions may be negotiated by the institution in such non-government sponsored contracts, upon request, provided that the institution retains the right to use the invention for its own research, educational, and service purposes without payments of royalty fees, that the institution requires the sponsor to use due diligence in the commercial use of the invention, and that the institution retains the right freely to publish the results of its research after a reasonable period necessary to protect the right of the parties and to allow for the filing of a patent application.

VII. Publication

A major function of The University of North Carolina is the advancement and dissemination of knowledge. Any practice that unnecessarily restricts the publication of results of scientific work is to be avoided. However, it is recognized that the full development of useful inventions or discoveries may be dependent upon the securing of patent protection that will enable the commercial utilization of the discoveries or inventions. Accordingly, under certain circumstances it may be necessary to delay for a minimum period the publication of results of research.

If a sponsor proposes to support a research effort that will involve a limited exclusive license to use of patents resulting therefrom, the agreement with respect to publication shall include the following. First, the sponsor must agree that the results of the research may be published if desired by the investigators or research workers. Second, in order that patent applications not be jeopardized, the constituent institution, the investigators, and research workers may agree that any proposed publication will be submitted to the sponsor with a notice of intent to submit for publication. If within a period of no more than 90 days from the date of such notice the sponsor fails to request a delay, the investigators, research workers and institution shall be free to proceed immediately with the publication. However, if the sponsor notifies the institution that a delay is desired, the submission of the manuscript to the publisher shall be withheld for the period requested, but in no event shall the total period of delay be longer than one year from the date of the notice of intent to submit for publication mentioned above. Such a period will permit the sponsor to have the necessary patent applications prepared and filed but will not unduly restrict the dissemination of scientific knowledge.

VIII. Avoidance of Conflicts

Conflicts involving patentable inventions and discoveries may arise when a constituent institution's personnel, including students enter into personal consulting agreements with outside firmsand organizations. The agreements that business firms wish to have executed by those who are to serve as their consultants frequently contain provisions as to the licensing or assignment of the consultant's inventions and patents. Unless such provisions are narrowly worded, they usually will apply to areas in which the individual's University work lies and thus come into conflict with the obligations owed by the individual to the University under these Policies, either with respect to the rights of the constituent institution itself in an invention or with respect to the rights of a sponsor of research in the same field or subject matter.

Prior to signing any consulting agreement that deals with patent rights, trade secrets, or the like, where any University time, facilities, materials or other resources are involved, University personnel and students must bring the proposed agreement to the attention of the appropriate administrators of the constituent institution in accordance with its patent procedures and either obtain a waiver of University rights or otherwise modify the consulting agreement to confirm with these Policies, as is determined by the institution in its discretion.

The foregoing requirements are in addition to, and do not eliminate the necessity for, any approval which may be required by The University of North Carolina Policy on External Professional Activity of Faculty and Other Professional Staff.

IX. Duty to Disclose Discoveries and Inventions

All individuals whose discoveries and inventions are covered by these Policies have a duty to disclose their discoveries and inventions promptly in accordance with the patent procedures adopted by each constituent institution pursuant to these Policies. The duty to disclose arises as soon as the individual has reason to believe, based on his or her own knowledge or upon information supplied by others, that the discovery or invention may be patentable. Certainty about patentability is not required before a disclosure is made. Individuals shall execute such declarations, assignments, or other documents as may be necessary in the course of invention evaluation, patent prosecution, or protection of patent rights, to insure that title in such inventions shall be held by the constituent institution, where these policies indicate the institution shall hold title, or by such other parties as may be appropriate under the circumstances.

X. Patent Committees

The Chancellor of each constituent institution of The University of North Carolina shall appoint a Patent Committee, consisting of no less than three members, one of whom shall be designated by the Chancellor to serve as chairman. The Committee for the institution shall review and recommend to the Chancellor or his delegate the procedures for the implementation of these Policies; shall resolve questions of invention ownership that may arise between the institution and its faculty, staff, or students or among individuals; shall recommend to the Chancellor the expenditure of the patent royalty fund; and shall make such recommendations as are deemed appropriate to encourage disclosure and assure prompt and expeditious handling, evaluation, and prosecution of patent opportunities.

The chairmen of the institutional patent committees, or their delegates, shall meet as an All-University Patent Committee. The meetings of the All-University Patent Committee shall be at the call of the President of The University or his delegate who shall serve as its chairman.

XI. Patent Management

The Chancellor of each constituent institution, or any person designated by him, is authorized to negotiate with reputable agencies or firms to secure for each institution arrangements for patent management, including competent evaluation of invention disclosures, expeditious filing of applications on patents, and licensing and administration of patents.

A constituent institution is authorized to administer its own patent management and licensing program without the use of a patent management agent, if it determines that such arrangement may better serve institutional and public interests. Nothing in this section shall be construed to permit the reduction of the minimum share due an inventor as specified in Section V of these Policies.

XII. Copyrights

As a generals rule, all rights to copyrightable material are the property of the creator. The distribution of royalties, if any, is a matter of arrangement between the creator and his publishers and licensees. Different treatment may be accorded by the institution in case of specific contracts providing for an exception, in cases where the constituent institution or sponsor may employ personnel for the purpose of producing a specific work, where different treatment is deemed necessary to reflect the contribution of the institution to the work, as in the case of software or audiovisual material, or where a sponsored agreement requires otherwise.

XIII. Service Marks, Trademarks and Trade Secrets

Service marks and trademarks are the property of the constituent institutions, and without express authorization from the Chancellor or his designee, no steps shall be taken for securing trademarks or service marks by usage or registration with respect to products resulting from or arising out of research or other activities carried out at a constituent institution or developed with the aid of its facilities or staff, or produced through funds administered by the constituent institution. The institutions are hereby authorized to register such marks as are deemed by that institution to be appropriate and to license the use of such marks, provided that the income from such licensing shall be used to support the research and educational programs of the institution and not accrue to the personal benefit of University personnel.

The use of trade secret agreements to protect discoveries and inventions developed at the constituent institutions may not be consistent with the aims and purposes of The University of North Carolina. Special provisions may be required to protect the free dissemination of students' degree-related work.

XIV. Procedure

The Board of Trustees of each constituent institution shall adopt patent procedures that are consistent with and implement these Policies, taking into account the nature and scope of the institution's programs. The institutional patent procedures shall be reviewed and approved by the President or his representative prior to approval by the Trustees.

XV. Exceptions

Exceptions to the above policies are authorized if approved by the President following a favorable review and recommendation from the pertinent institutional committee or the All-University Patent Committee. Before approving an exception, the President must determine that, on the basis of the evidence available, such exception is in the public interest and is consistent with The University's responsibilities to the public.

Adopted 6/10/83.

[Academic Affairs HomePage] [Return to Table of Contents]

Last updated: August 14, 1998