Vision, Values, Mission/Institutional Purpose
Organizational Structure
Equal Opportunity for Employment
Employee Grievance/Complaint Procedures
Policy on Sexual Harassment
Policy Statement on Drug-Free Campus
University Policy on Smoking
Workplace Violence Prevention Guideline
Policy on Financial Exigency
Selection and Periodic Review of Academic Administrative Personnel
Information Technology Policies
Faculty Guide to Copyright Fair-Use
Intellectual Property Policy
Constitution of the Faculty Senate
By Laws of the Faculty Senate
Misconduct in Scholarship and Research
Conflict of Interest
Nepotism Policy
Academic Chair (Non COM) Appointment and Stipend Policy
Campus Sex Crimes Prevention Policy
Vision, Values, Mission/Institutional Purpose
The Vision, Mission, and Values of East Tennessee State University can be accessed at the following link:
http://www.etsu.edu/president/mission.aspx
11/94; 06/95; 11/97; 11/99; 11/05; 01/10; Effective 10/11, policy changes will appear on the webpage cited
Organizational Structure
To view ETSU’s organization structure, go to:
http://www.etsu.edu/humanres/orgchart.aspx
07/01/91; 05/15/01; Effective 03/06, policy changes will appear on the webpage cited
Equal Opportunity for Employment
Refer to ETSU Personnel Policies and Procedures Manual at:
http://www.etsu.edu/humanres/relations/PPP04.aspx
09/15/79; 02/15/91; 08/15/96; 10/18/00; Effective 03/06, policy changes will appear on the webpage cited
Employee Grievance/Complaint Procedures
Purpose
The purpose of these procedures is to provide a clear, orderly, and expedient method through which all employees of East Tennessee State University may process bona fide grievances or complaints
Policy Statement
It is the intention of East Tennessee State University to provide an effective process for the resolution of problems arising from the employment relationship or environment. To this end, a formal grievance/complaint procedure has been established for the use and benefit of all employees. It is the responsibility of administrative, academic, and line supervisors to inform and make available to all employees information concerning these procedures. When an employee believes a condition of employment affecting him/her is unjust, inequitable or a hindrance to the effective performance of his/her employment responsibilities, he/she should seek resolution through this mechanism without fear of coercion, discrimination or reprisal. The objective of East Tennessee State University's Grievance/Complaint Procedures is to make every effort to resolve a grievance/complaint at the lowest possible step. Toward this end, faculty are encouraged to communicate openly with their immediate supervisors and to consult with a trained procedural consultant (so designated by the Faculty Concerns and Grievance Committee for the university and trained appropriately for the position) for clarity about definitions of grievances and complaints and procedures for advancing either.
Scope
These procedures apply to all employees and cover all employment related issues with the exception of Sexual Harassment, Affirmative Action Matters, and Tenure. The institution has a separate set of guidelines for the processing of Sexual Harassment complaints and matters involving Affirmative Action (i.e., unlawful discrimination on the grounds of race, religion, color, sex, age, handicap, nation origin, or veteran status). Sexual Harassment complaints should be filed with those individuals outlined in the Sexual Harassment Plan while Affirmative Action matters should be filed with the Affirmative Action Director. Furthermore, a separate Committee on Promotion/Tenure appeals exists for the disposition of matters involving tenure or promotion.
Moreover, an employee may choose to utilize these procedures for review by the grievance committee (established pursuant to the within guidelines) in the following situations:
Actions relating to the suspension of employees for cause or termination in violation of an employment contract which fall under TBR Policy 1:06:00:05 (cases subject to TUAPA); or,
Actions related to TBR Policy 5:02:03:00, Section III. 16. b. (2) (suspension of tenured faculty).Furthermore, the University may choose to utilize these procedures for review by the grievance committee (established pursuant to the written guidelines) when resolving a matter initiated pursuant to TBR Policy 5:02:02:00 (faculty promotion).
Definitions
Matters Subject to the Grievance or Complaint Procedure
There are two (2) types of matters that may be addressed by these procedures: (1) grievances subject to committee review; and, (2) complaints that must be resolved without committee review.
a. Grievance - (committee review available)
An employee may only grieve those matters which result from any action the Institution has taken against the employee which:
(1) Violates school or TBR policy, or involves an inconsistent application of those policies; or,
(2) Violates any constitutional right including, but not limited to the First, Fourth, or Fourteenth Amendments to the Federal Constitution
and specifically, but again not limited to, actions that hamper free speech, freedom of religion, the right to association, personal and
professional property rights, provides for improper search and seizure, or denies constitutionally required notice or procedures.
b. Complaints (committee review not available)
A complaint is a concern an employee wants to discuss with supervisory personnel in an effort to resolve the matter. Personnel actions such as performance evaluations, rates of pay, position reclassification, or position termination due to reduction in force are not defined as complaints.
In effect, in order for a personnel action such as those described in the preceding paragraph to be formally challenged by an employee or faculty member, the action must be the result of an alleged violation of school or TBR policy, an inconsistent application of those policies, a violation of any constitutional right, et. seq. (Note: bases for challenges are listed in “Scope” and “Definitions.”
This section recognizes that the informal “give-and-take” traditionally associated with the employment process will not be altered and that an employee should feel free to express dissatisfaction with the working environment; however, there is an appropriate framework for expressing personal dissatisfaction, which this policy attempts to outline.
Employees
All references to the term “employee(s)” contained in these procedures only include administrators, faculty (full-time or temporary contracts), professionals, clerical, and support personnel. Probationary employees are also included in the definition; however, student workers, graduate assistants, adjunct faculty, and temporary workers are not included in the definition of employee as it pertains to the grievance procedure.
Grievance Committee
There are two grievance committees utilized by the University. The two types are the (1) Faculty Concerns and Grievances Committee, and (2) Non-Faculty Grievance Committee.
a. Faculty Concerns and Grievances Committee
The Faculty Concerns and Grievance Committee shall (a) designate a panel of three faculty members to serve the university as procedural consultants; (b) participate with the University Attorney in training procedural consultants in the definitions, policies, and procedures related to filing both grievances and complaints; (c) serve, when asked by the faculty member, as a consultative body for the development of any grievance or complaint, subject to guidelines and restrictions of this process stated in the section on Faculty Senate Policy for Faculty Grievances; and (d) shall only consider and forward recommendations to the President on those matters which meet the criteria for grievances—with those problems which are deemed complaints to have their ultimate resolution through the Office of the President of the University.
b. Non-Faculty Grievance Committee
The Non-Faculty Grievance Committee shall only consider grievances brought by non-faculty members. The Non-Faculty Grievance Committee shall also be selected from a Non-Faculty Grievance Pool and shall be activated for individual grievances only.
(1) Non-Faculty Grievance Committee Pool
The President shall select a pool of potential committee members who will receive training by the Office of Human Resources regarding the University's Grievance procedure. Six (6) full-time permanent employees from each non-faculty EEO category will be selected by the President to serve as Pool Members. Their terms of service will be staggered such that two (2) members from each EEO category will serve a one (1) year term, two (2) members will serve a two (2) year term, and two (2) members will serve a three (3) year term. These individuals may serve subsequent terms but may not succeed themselves and the President shall replace all vacated positions. Furthermore, the percentage of females and minorities on the Non-Faculty Grievance Pool shall reflect as closely as possible their representation at the University at large. The following personnel, however, shall not be eligible to serve as members of the Non-Faculty Grievance Pool: personnel in the Office of the President; personnel employed in the Offices of the Vice Presidents; or employees of the Office of the Internal Auditor, Payroll Office, or Office of Human Resources.
(2) Non-Faculty Grievance Committee Selection
The President shall select the Grievance Committee which shall consist of three (3) members selected from the Grievance Committee Pool. At least one member of the grievant's peer group must serve on the committee; however, relatives, employees who have supervisory responsibility over the aggrieved employee, or anyone working in the same department under the same manager or supervisor are ineligible to serve on the committee. The committee shall select a chairperson and conduct an impartial hearing on the grievance at which it would accept and review all pertinent information presented by the employee as well as any other information it deems appropriate. The committee's review shall be thorough and independent and its recommended action shall be based on a full and fair consideration of all the facts and circumstances.
Immediate Supervisor
That person who is directly responsible for the supervision of the employee's activities.
Next-higher-level Supervisor
That person who is directly responsible for the supervision of the immediate supervisor's activities.
Working Days
Days on which the business offices of the Institution are officially open.
Date of the Decision
Date the decision is communicated to the employee if communicated in person; or, three (3) days after mailing of the decision, if communicated by mail.
Responsibility for Implementation and Compliance
The President of the University has ultimate responsibility for the implementation of these procedures and is the final decision maker in the resolution of complaints. The final decision making authority in any action involving a grievance, pursuant to TBR Policy 1:02:11:00, resides with the Chancellor of the Tennessee Board of Regents.
General Rules of Implementation
The primary responsibility for resolving grievable matters rests with the employee/faculty member and his or her immediate supervisor. Initial steps should always be taken to resolve disputes at this level before proceeding to the following rules of implementation. When a concern or issue has not been resolved informally, and the concern might be foreseen to result in a formal complaint or grievance, the immediate supervisor will refer the faculty member to an appropriate procedural consultant or consultants for consultation and guidance by giving the faculty member a referral card developed and provided by Faculty Senate.
Employees using these procedures shall be entitled to do so without fear of retaliation, interference, coercion or discrimination.
A grievance which is the subject of an action filed with an external body shall not be processed through the University's grievance procedures. The term external body includes a court or federal or state administrative body such as the Equal Employment Opportunity, Office of Civil Rights, or Tennessee Human Rights Commission.
A grievance/complaint must be presented to the employee's immediate supervisor within ten (10) working days after the occurrence of the incident. Any claim not presented within the time frame provided shall be deemed to have been waived. For repetitive or ongoing incidents or circumstances, the grievance/complaint must be filed within ten (10) working days of the last occurrence of such incident or circumstance or of the discovery by the employee of the occurrence. This policy presumes that all employees or faculty members will use good faith and diligence in the discovery of grievable matters.
The grievant/complainant is entitled to be accompanied by an advisor at each step of the procedure; however, the advisor may not act as an advocate on behalf of the individual.
Employees shall be given the opportunity to pursue grievances/ complaints during their assigned work time.
The President may grant reasonable extensions of the applicable time limits at each stage of the procedure upon the timely showing of good cause. The request for an extension must be in writing. The approval or denial of the request shall also be in writing.
Supervisors to whom a grievance is raised and the Grievance Committee may consult the Director of Human Resources for advice on resolving grievances (except for grievances involving an action taken against the grievant by the Director of Human Resources).
Copies of all written and associated documentation will be filed in the Office of Human Resources.
There shall be a one-semester time limit placed on all grievable matters. In essence, no grievance may be heard unless the grievable incident(s) occurred within the semester immediately preceding the current semester or within the current semester.
Grievance/Complaint Process
Steps for Filing a Grievance Only
Discussion with Immediate Supervisor
A grievance must be brought to the attention of the employee's immediate supervisor within twenty (20) working days after the employee becomes aware of the problem. The employee should state the basis for the grievance and the corrective action desired in temperate and reasonable terms. The employee and the supervisor shall discuss the grievance in an attempt to resolve the matter in a mutually satisfactory manner. The supervisor shall conduct any necessary or appropriate investigation and inform the employee of a decision based upon full and fair consideration of all the facts within five (5) working days of the initial discussion. The immediate supervisor will assure that the decision is clearly communicated to, and understood by, the employee. If the employee is satisfied with the decision, no additional action is required. If the employee is not satisfied, the employee may proceed to Step 2 and will be referred to an appropriate procedural consultant or consultants for consultation and guidance by giving the faculty member a referral card developed and provided by the Faculty Senate. If no decision is communicated to the employee within five (5) working days of the initial discussion, the employee may proceed directly to Step 2.
Discussion with Higher-Level Supervisor
If the employee and the immediate supervisor are not able to reach a mutually satisfactory resolution to the grievance, the employee may proceed to discuss the matter with the next-higher-level supervisor within ten (10) working days of the date of the decision of the immediate supervisor. Failure to comply with Step 2 in a timely manner shall be deemed a waiver by the employee for this particular occurrence and the grievance may not be raised again. The next-higher-level supervisor and the employee shall then follow the procedures required in Step 1.
If the employee is satisfied with the decision reached by the next-higher level supervisor, no additional action is required. If the employee is not satisfied, the employee may proceed to Step 3; if the employee has not already seen a procedural consultant, she or he will be referred to an appropriate procedural consultant or consultants for consultation and guidance by giving the faculty member a referral card developed and provided by the Faculty Senate. If no decision is communicated to the employee within five (5) working days of the initial discussion between the employee and the next-higher-level supervisor, the employee may proceed directly to Step 3.
Written Grievance Statement
If the employee and the next-higher-level supervisor are not able to reach a mutually satisfactory resolution to the grievance the employee may file a written grievance with his/her vice president on the designated form, available online at: http://www.etsu.edu/humanres/forms.aspx
This form shall allow the employee to clearly indicate whether she or he is filing a formal grievance or complaint – or the university may choose to make available two different forms, one for a grievance and one for a complaint: It is the faculty member’s responsibility to make her or his own case for the problem being addressed appropriately as either a grievance or a complaint as delineated in this policy. The grievance must be filed within ten (10) working days of the date of the decision of the higher-level supervisor. Failure to comply with Step 3 in a timely manner shall be deemed a waiver by the grievant for this particular occurrence and the grievance may not be raised again.
A copy of the grievance, along with any supporting documentation, shall be given to the immediate supervisor and the next-higher-level supervisor. The vice president may request either or both supervisors to respond in writing to the grievance statement. If the employee is satisfied with the decision reached by the vice president no additional action is required. If the employee is not satisfied the employee may proceed to Step 4. If no decision is communicated to the employee within fifteen (15) working days after filing the grievance with the vice president, the employee may proceed directly to Step 4.
Written Grievance Statement to be Received by the President and Grievance Committee
If the employee and the vice president are unable to reach a mutually satisfactory resolution the employee may file with the President of the institution. Any grievant, who may otherwise be entitled to a hearing before the grievance committee, may waive such a hearing and accept the findings of the President. Any faculty member considering such a waiver shall first be referred to an appropriate procedural consultant or consultants for a consultation on the advisability of signing a waiver of this right by giving the faculty member a referral card developed and provided by the Faculty Senate. Any such waiver shall be in writing and signed by the grievant. The waiver should state the matter involved and should expressly state that the right of the grievant to a formal hearing by the Grievance Committee is knowingly and voluntarily waived.
If the grievant waives his/her rights to a hearing, the President shall within twenty (20) days after receipt of the grievant's file, advise the grievant of the decision. The President's decision will be final and shall be directed to the employee. If no decision is communicated to the employee within twenty (20) working days of filing the grievance the employee may file directly with the Chancellor of the Tennessee Board of Regents.
If the grievant does not waive the right to a hearing, the President shall, within five (5) days of receipt of the grievant's file, refer the grievance and all relevant documentation to the appropriate grievance committee. Within twenty (20) days after receipt of the grievant's file the committee shall advise the President and the grievant of its decision. The recommendation shall be based on a full and fair consideration of all the facts and circumstances. The report shall also contain a summary of the committee's investigation and findings.
Appeal of Grievance to the Chancellor, Tennessee Board of Regents
In any case where the President makes a decision adverse to the grievant, the President shall advise the grievant of his/her right to appeal the decision to the Chancellor. The employee's appeal to the Chancellor must be filed within fifteen (15) working days of the date of notification of the President's decision.
Steps for Filing a Complaint Only
The steps involved in the resolution of complaints follow the same procedures as those outlined for the resolution of grievances with the following exceptions:
a. Complaints do not include a right to a hearing or adversarial proceeding before the grievance committee; and,
b. The President is the final decision maker involving complaints; that is, the complainant does not have the right to appeal to the Chancellor
of the Tennessee Board of Regents.
Maintenance of Records
Copies of all written grievances/complaints and accompanying responses and documentation will be maintained with the Office of Human Resources for at least three (3) years.
Committee Membership and Selection
A Faculty Concerns and Grievances Committee shall serve as an advisory body to advise the Senate and, through the Senate, either the Vice President for Academic Affairs or the Vice President for Health Sciences on matters arising from either a concern or a grievance filed by a faculty member or members. The committee shall consist of one faculty senator from each college and school. An alternate may be asked, by the Senate president, to sit in place of a regular committee member in those cases in which the regular committee member is unable to serve or cannot be present for one or more scheduled meetings. A committee member who has a particular interest in the case outcome will excuse him or herself from the committee and be replaced by an alternate for that hearing.
The committee will be appointed by the Faculty Senate, as a committee of the Senate. The chair shall be elected by the committee members at their first meeting of each academic year.
Faculty Senate Policy for Faculty Grievances
All formal complaints and grievances by faculty are now governed by the East Tennessee State University's Employee Grievance/Complaint Policy and Procedure (1.4). Any faculty member wishing to formally challenge an administrative decision should carefully follow the procedures outlined there and it is recommended that she or he consult with an appropriate procedural consultant or consultants with regard to policy, procedures, and rights.
However, faculty members occasionally want an opportunity to discuss their concerns with their peers and to obtain their peers’ advice, without becoming mired in formal grievance procedures. East Tennessee State University provides two avenues for such discussions/consultations—either or both of which are available to all faculty members: The first is a consultation with a trained procedural consultant or consultants, and the second is through a formal consultation (specified and limited below) with selected members of the Faculty Senate Committee on Faculty Concerns and Grievances. Members of the Committee on Faculty Concerns and Grievances who provide formal consultation on a case will not sit on a formal grievance hearing of that case.
Therefore, we recommend that the Senate Committee on Concerns and Grievances will serve two functions in addition to those specified in the Senate By-Laws 1.5.1.3.
1. The Committee will discuss concerns filed by individual faculty members. A concern is defined as any matter that could be subject to a
complaint or grievance as outlined under the University's Complaint and Grievance Policy. In addition, the committee will have the
discretion to discuss any other matters it deems appropriate.
Prior to meeting with the committee, the faculty member will submit a brief statement of her/his concern. In discussing such matters, the Committee will not function as an adversarial hearing board. Rather the committee members will listen to the faculty member's/members' complaint and advise her/him as they see fit. They will advise the faculty member about the proper way to proceed. However, the committee's deliberations, since they are merely advisory, cannot become part of any formal grievance the faculty member chooses to file. Deliberations will be confidential, unless all parties agree otherwise. The committee will maintain no records.
2. If the faculty member chooses to file a formal grievance, the committee, in conjunction with the President of the Faculty Senate, will select a
five-member committee who will formally hear the grievance in accordance with university policy. This committee will report its findings to
the University President.
11/90
Policy on Sexual Harassment
Refer to ETSU Personnel Policies and Procedures Manual for both policy and procedures at:
http://www.etsu.edu/humanres/relations/PPP30.aspx
02/87; 02/89; 02/95; Effective 03/06; policy changes will appear on the webpage cited
Policy Statement on Drug-Free Campus
Refer to ETSU Personnel Policies and Procedures Manual at:
http://www.etsu.edu/humanres/relations/PPP26.aspx
07/23/90; Effective 03/06; policy changes will appear on the webpage cited
University Policy on Smoking
Refer to ETSU Personnel Policies and Procedures Manual at:
http://www.etsu.edu/humanres/relations/PPP53.aspx
8/1/97; Effective 03/06, policy changes will appear on the webpage cited
Workplace Violence Prevention Guideline
Refer to ETSU Personnel Policies and Procedures Manual at:
http://www.etsu.edu/humanres/relations/PPP58.aspx
01/26/90; November 3, 1999 - TBR President's Meeting; 12/01; Effective 03/06, policy changes will appear on the webpage cited
Policy on Financial Exigency
Definition of Financial Exigency
Financial Exigency is the formal declaration by the Tennessee Board of Regents that East Tennessee State University faces an imminent financial crisis, that there is a current or projected absence of sufficient funds (appropriated or non-appropriated) for the campus as a whole to maintain current programs and activities at a level sufficient to fulfill its educational goals and priorities, and that the budget can only be balanced by extraordinary means which include the termination of existing and continuing academic and non-academic appointments.
Actions Required Prior to the Declaration of Financial Exigency
Financial exigency results from an imminent fiscal crisis characterizing the entire institution; thus, the condition of financial exigency may not be declared at a level below that of the institution (i.e., it may not be declared at the level of an academic or administrative unit such as a school, department, or similar account-level unit). In light of the gravity of consequences resulting from a declaration of financial exigency, the process leading to an institutional recommendation to the Tennessee Board of Regents that financial exigency be declared must be cautious, fair, well informed, and as responsive as possible to the interests of various segments of the institution.
The responsibility for initiating the proposal for declaration of financial exigency resides with the President of East Tennessee State University. Since recommending the declaration of financial exigency is an extreme measure, that responsibility requires the President to provide all appropriate assurances and documentation that available and reasonable procedures to reduce the expenditure levels of the institution are exhausted, and that no efforts have been spared to enhance revenues.
Prior to proposing the declaration of financial exigency, the President shall share with the entire faculty or its representative body and with representatives of other campus personnel constituencies all pertinent analysis and documentation that, in his or her opinion, demonstrate an imminent fiscal crisis for the entire institution that would warrant a declaration of financial exigency. That analysis and documentation should be shared promptly and with sufficient notice to all personnel constituencies including the Faculty and Staff Senates; and opportunities should be provided for discussions with and advice from those bodies, answers to appropriate questions, and general deliberations befitting an educational institution.
After discussion and review of any advice from various personnel constituencies, the President shall, if he/she remains convinced that conditions warrant a recommendation for declaration of financial exigency, present the recommendation with full documentation to the Chancellor of the Tennessee Board of Regents.
If his/her review supports the conclusion that conditions warrant a declaration of financial exigency, the Chancellor shall so recommend to the Board of Regents.
In addition to providing the Board of Regents with a recommendation to declare financial exigency, the Chancellor in consultation with the campus president shall also submit a statement of findings and conclusions including at least the following:
a. A description of the current fiscal condition of the institution, including the projected amount of deficit that would result from failure to
declare financial exigency.
b. A projection of the fiscal condition that would result, in the opinion of the President and the Chancellor, from general types of action
anticipated to be taken subsequent to a declaration of financial exigency.
c. An analysis of the reason for the current imminent fiscal crisis characterizing the entire institution, specifying with appropriate
documentation those identifiable factors contributing to the crisis.
d. A statement of assurance, with supporting evidence, that available and reasonable procedures to reduce expenditure levels of the
institution are exhausted, that further retrenchment within existing policies is not compatible with the objective of assuring maximum
protection for the academic programs of the institution and the educational needs of students, and that efforts to enhance revenues
have been carried out in a responsible manner.
e. A transmittal of any advice, alternatives, or information in writing by any institutional personnel constituencies including the Faculty
and Staff Senates.
Actions Required Subsequent to the Declaration of Financial Exigency
Should the Board of Regents formally declare a state of financial exigency at East Tennessee State University, the President shall in a reasonable time and with appropriate documentation initiate a proposed plan to allocate necessary funding reductions among the primary budgetary sub-units (e.g., academic affairs, student affairs, fiscal affairs, etc.) within the institution. The following procedures shall be followed:
The President shall convene an ad hoc University Council, which shall serve as the institution's Financial Exigency Committee. The membership of this council includes: the President of the University, the President of the Faculty Senate, the President of the Staff Senate, the President and one elected member of the Student Government Association, the President and one elected member of the Graduate and Professional Student Association, three elected members of the staff, one full-time, tenured faculty members elected by faculty from each existing college, the School of Continuing Studies and Academic Outreach, and the University Libraries one dean elected by the deans (not to include the Deans of the College of Medicine and College of Pharmacy), and the vice presidents of Academic Affairs, Health Affairs, Student Affairs, Finance and Administration, and University Advancement
The President's proposed plan for allocating necessary funding reductions to primary budgetary sub-units shall be reviewed by the Financial Exigency Committee. The Committee shall review the amounts of proposed reductions, evaluate proposed reductions in the light of institutional priorities, and consider administrative organization and academic priorities. It shall also consider the magnitude of proposed reductions in each primary budgetary sub-unit in the light of factors prescribed by applicable state or federal laws regarding fair employment practices.
The Committee shall submit in writing within thirty days to the President its response to the President's plan, which shall include either an endorsement or a recommendation of alternatives.
The President shall consider any alternatives recommended by the Committee and, within thirty days, shall indicate to the Committee a final decision relative to the internal allocation of necessary funding reductions. This financial plan should be communicated broadly to all personnel constituencies including the Faculty and Staff Senates.
Heads of primary budgetary sub-units, with broad and clearly defined faculty and staff consultation, shall recommend to the President plans for effecting their designated budget reductions. Those recommendations from heads of primary budgetary sub-units shall include proposed reductions in programs or personnel, shall achieve the designated reductions, and shall respond to any inquiries the President or the Financial Exigency Committee may direct.
As a primary component of his or her review of plans submitted by heads of primary budgetary sub-units, the President shall — prior to accepting them — submit the plans for review by the Financial Exigency Committee.
The Committee shall review plans submitted by heads of primary budgetary sub-units with consideration for the following general principles:
a. Retrenchment other than reduction-in-force should reflect as its major priority maximum protection for the academic programs of the
institution and the educational needs of students.
b. When an academic or administrative unit undergoes reduction-in-force, the principle consideration in determining which persons to
retain and which to terminate should be the maintenance of viable academic or support programs within that unit.
c. Personnel or affected academic or administrative units should have significant advisory involvement relative to determining specific
persons and minimal personnel needs or areas of specialization essential to a unit's viability.
d. To avoid the possibility of compromising the quality of highly productive programs within the institution and to recognize the best interests
of continued academic excellence, reduction-in-force cannot normally be accomplished on a strictly across-the-board basis.
e. Affirmative action plans should be carefully considered in all personnel decisions.
f. Unless an exception is made in order to maintain a viable academic or support program as identified in “b” above or for reasons of
affirmative action as noted in “e” above, decisions as to the order of personnel terminations in academic or administrative units should be
made in light of the following factors in rank order as they apply to personnel within the specific academic and administrative units:
(1) Faculty considerations:
(a) Tenure status (non-tenured before tenured);
(b) Rank (junior faculty before senior faculty);
(c) Seniority within rank (total years in current rank at ETSU and elsewhere);
(d) Local seniority within rank (total years in current rank at ETSU);
(e) Length of service (total years at ETSU).
Performance evaluations are an inherent part of promotion and tenure decisions. Therefore, performance is a determinant of the tenure, rank and longevity factors listed above. If equality of all the above factors exists, then a special performance evaluation covering the academic careers of the faculty members involved shall be the final deciding factor.
(2) Non-Academic Considerations:
(a) Length of service (total years at ETSU)
(b) Seniority within position/classification
(c) Performance evaluation.
The Financial Exigency Committee shall submit in writing to the President its response to the plans for recommended reductions submitted by heads of primary budgetary sub-units. That response shall include either an endorsement or a recommendation of alternatives.
After appropriate review of response by the Financial Exigency Committee, the President shall indicate acceptance, rejection, or amendments to reduction plans submitted by heads of primary budgetary sub-units. The President shall communicate his or her composite plan for reducing expenditures to the entire campus community.
The President shall submit for approval by the Chancellor the composite plan for effecting budgetary reductions as required by the fiscal condition of the institution. That transmittal must include the written response by the Financial Exigency Committee to both (l) the President's plan for allocating necessary funding reductions to primary budgetary sub-units, and (2) plans for primary budgetary sub-units for effecting their designated budget reductions.
If the Chancellor approves the plan for implementation, he/she shall submit it as information, together with any analysis he/she may deem appropriate, at the next meeting of the Tennessee Board of Regents.
Procedures for Termination of Personnel Under Conditions of Financial Exigency
Following declaration by the Tennessee Board of Regents that a condition of financial exigency exists at East Tennessee State University, the President of the University — having complied with those actions required subsequent to the declaration of financial exigency — is authorized to carry out those actions, including reduction-in-force, which are included in the plan approved by the Chancellor. Reduction-in-force under this policy may include any personnel classification, including tenured faculty members or probationary faculty members prior to the end of their terms of appointment.
The procedures for termination described in this policy are in force only during a period in which the Tennessee Board of Regents has declared that East Tennessee State University is in a condition of financial exigency.
An individual selected for termination shall receive prompt written notification from the President. That notification shall include the following:
a. a statement of the basis on which the individual was selected for termination;
b. an indication of the data or reasons supporting the choice if it is not a clearly defined factor such as rank or tenure status;
c. a statement of the date on which the termination is to become effective
d. a copy of the declaration of financial exigency adopted by the Tennessee Board of Regents; and
e. such other information as the President may deem appropriate.
An individual who receives notice of termination may appeal the decision under the conditions indicated in this section.
a. Faculty who receive notice of termination shall appeal to a Faculty Hearing Committee, which shall consist of nine members of
the faculty and administration; five appointed by the Faculty Senate and four appointed by the President. Staff who receive notice
of termination shall appeal to a Staff Hearing Committee which shall consist of nine members of the staff and administration; five
appointed by the Staff Senate and four appointed by the President.
b. The Faculty or Staff Hearing Committee shall ensure prompt hearings that are thorough and fair but need not be judicial in nature.
Strict rules of procedure (e.g., confrontation, cross-examination and formal rules of evidence) need not be required.
The following conditions constitute grounds for appeal by an individual of notice of termination.
a. Established institutional procedures or provisions of Board Policy 5:02:06:00 were not followed.
b. Appropriate criteria were not applied, including but not limited to the allegation that his or her selection constituted a violation of the
individual's academic freedom or that unfounded or arbitrary assumptions of fact were made.
The Hearing Committee shall not review the decision concerning the declaration of financial exigency of the President's plan for the amount of reduction to be assumed by each primary budgetary sub-unit.
A recommendation will be sent from the Faculty or Staff Hearing Committee to the President recommending that he/she uphold or reverse the action of termination, and the President will inform the appropriate hearing committee and the individual of a final decision.
The President's final decision may be appealed to the Chancellor and, after he/she has reached a decision, to the Tennessee Board of Regents.
Continuing Rights of Persons Terminated Under Conditions of Financial Exigency
No vacancy caused by a termination under conditions of financial exigency shall be filled for a period of three years from the time of notice of termination without first offering the position to the person terminated (academic or non-academic), provided that the person terminated keeps the institution informed of his or her current mailing address. If the person previously terminated is offered the position and accepts, he/she will be returned to the same rank and tenure status.
Termination of Declaration of Financial Exigency
The policies and procedures established by this policy shall continue in effect during the period of a state of financial exigency. If the financial health of the institution improves sufficiently, the President shall initiate a proposal for the termination of a declared state of financial exigency. At the termination of a declared state, that action by the Tennessee Board of Regents shall cause all policies, procedures, and bodies created in this policy for the sole purpose of making and implementing exigency decisions to cease to exist.
Definitions
The following are general definitions of words and terms used in this policy that are not defined above. These words and terms are subject to further qualification and definition in the previous sections of this policy.
Reduction-in-force — the termination of employment of faculty or staff resulting from a budgetary crisis reflected in a declared state of financial exigency.
Entire institution — any one of the institutions of the Tennessee Board of Regents System for which funds are separately appropriated by the Tennessee General Assembly.
Academic or administrative unit — an academic department or other similar account-level unit.
Representative faculty body — the major faculty organization devoted to governance (as implied in Board Policy 1:03:10:00).
Primary budgetary sub-unit — a major budgetary area of an institution (e.g., academic affairs, student affairs, fiscal affairs) usually headed by an administrator reporting directly to the President.
03/04/85; 06/28/11
Selection and Periodic Review of Academic Administrative Personnel
Selection
Chairs
When a vacancy for the position of department chair exists, it may occur simultaneously with a job opening in the department or it may occur when a chair will no longer serve in that capacity but will remain in the department as a member of the faculty. In both cases, however, the college/school dean will notify the department concerning a vacancy or an impending vacancy.
a. Vacancy Occurring Simultaneously with a Job Opening
The search committee will be composed of at least eight members. The dean of the school or college in which the department is located will ask the departmental faculty to elect three of their own full-time, tenured or tenure-track members and one tenured faculty member from outside the department to serve on a search committee. In addition, the department faculty will choose one undergraduate or graduate student majoring in the department to serve on the committee. The dean will appoint three additional members of the search committee. If the members chosen by the departmental faculty happen not to be sufficiently diverse in any way, the dean will use his/her appointments to ensure diversity of the search committee. The dean will name as chair of the search committee a committee member who is tenured and not a member of the department.
If the dean and/or department wish to establish a committee larger than the minimum of eight, this may be done as long as at least 60 percent of the voting members are chosen by the departmental faculty, either from within the department’s membership or from outside it. Additional members may include additional tenured/tenure-track faculty, additional students, clerical/support staff, administrative staff, retirees, practitioners, community members, persons with special expertise, etc. Individuals who wish to be considered for the vacancy will not serve on the committee.
The dean will meet with the search committee to discuss mutual expectations and needs regarding the department chair. The search committee will be involved in developing the job description and advertisement for the chair’s position. The search committee will seek advice from all the faculty in the department throughout the search and from others as desired, screen candidates for the position, and submit to the dean the names of two or more candidates who they think are best fitted for the position. If the dean agrees, the committee may submit the name of only one candidate. Candidates may or may not be ETSU faculty.
If the dean finds one or more nominations from the search committee acceptable, the dean will consult with the faculty concerning the preferred candidate(s) and determine that these are acceptable to the majority of the departmental faculty. One acceptable candidate will then be recommended by the dean to the appropriate vice president who, if in agreement, will recommend a nominee to the president. If the dean's nominee is disapproved, the dean may submit other nominations made by the committee. If none of the committee's nominees is acceptable to the dean, or if all of the dean's nominees are disapproved, the dean may request that the committee submit additional names for consideration (and for review and approval by the majority of the department) or may terminate the search and institute procedures for a new search.
When a nominee has been approved by the President, the department will be advised by the dean. Vacancies will be filled as expeditiously as is feasible. If for any reason a chair's position is left vacant pending the appointment of a new chair, the dean of the school/college will, after seeking the advice of the department and with the concurrence of administrative superiors, appoint an acting chair to serve during the interim.
b. Vacancy Occurring Without a Job Opening
Prior to the selection of a search committee the dean will obtain from the President, via the appropriate vice president, a statement as to whether or not an additional position can be created within the department. If a new position is created, the dean will appoint a committee according to the guidelines in section “Chairs” above. If a new position is not created, the dean will appoint a committee according to the same guidelines with the added restriction that the search must be confined to the present members of the faculty.
Academic Dean
When a vacancy of a position of an academic dean exists, or when it is known that such a vacancy will exist within the next twelve months, the appropriate vice president will inform the faculty of the affected college or school. A search committee will be appointed or otherwise secured by the vice president, who will also appoint the committee chair. This committee will include faculty members and a student or students from the affected college or school, together with other individuals who must never constitute a majority of the committee.
Candidates may or may not be ETSU faculty. Individuals who wish to be considered for the vacancy will not serve on the committee. The search committee will seek the advice of the faculty in the affected college or school and others as desired; will screen candidates for the position; and will submit to the vice president the names of two or more candidates whom they think to be best fitted for the position. The vice president may accept or reject any or all names submitted. If the latter be the case, the committee may be instructed to furnish additional names until an acceptable list is submitted. If, however, one or more nominees is considered to be satisfactory the committee will be consulted regarding these preferences. The preferred candidate will then be recommended to the President. If the nominee is disapproved, further nominations from the search committee may be submitted. In the event all nominations are disapproved the vice president may request that the committee submit additional names until a satisfactory nominee has been submitted.
There may be deviations from this policy where necessary to conform to the requirements of the accrediting agency having jurisdiction over any college or school.
Vacancies will be filled as expeditiously as is feasible. If a deanship is left vacant pending the selection of a new dean, the appropriate vice president, after consultation with department chairs and such others as are deemed appropriate will, with the concurrence of the President, appoint an acting dean to serve during the interim.
Vice President for Academic or Health Affairs
When a vacancy of the position of the Vice President for Academic Affairs, or Vice President for Health Affairs exists, or when it is known that such a vacancy will exist within the next twelve months, the President will inform the faculty of the affected units of the vacancy. A search committee will be appointed or otherwise secured by the President, who will also appoint the committee chair. This committee will include faculty members and a student or students from the affected colleges and schools, together with other individuals who must never constitute a majority of the committee. Individuals who wish to be considered for the vacant position will not serve on the committee. The search committee will seek the advice of the faculty and others as desired; will screen candidates for the position; and will submit to the President the names of one or more candidates whom its members think best fitted for the position. The President may accept or reject any or all names submitted. If the latter be the case the committee may be instructed to furnish additional names until an acceptable list is submitted, or other means may be used to fill the position.
Vacancies will be filled as expeditiously as is feasible. If the position is left vacant pending the selection of a new vice president for academic or health affairs, the President will appoint an acting vice president to serve during the interim.
Periodic Review
In addition to annual personnel reviews of all staff, East Tennessee State University conducts periodic reviews of administrators. Ordinarily these reviews occur every four years from the start of an individual’s time in a particular position. ETSU’s Personnel Policies and Procedures Manual [ http://www.etsu.edu/humanres/relations/PPP-59.aspx ] describes the periodic review process in detail, including the calendar, criteria by which administrators will be evaluated, who will participate in the review process, and provisos regarding who is exempt from review.
09/15/79; 12/90; 11/6/97; 04/23/09
Information Technology Policies
Acceptable Use Policy (Includes Web Publishing and TECnet)
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/acceptableuse.aspx
Effective since 08/00; Effective 10/11, policy changes will appear on the webpage cited
Administrative Computer Access Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/admcompaccess.aspx
Effective 10/11, policy changes will appear on the webpage cited
Complaint Resolution Process
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/compresprocess.aspx
10/05; Effective 10/11, policy changes will appear on the webpage cited
Electronic Mail Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/electronicmail.aspx
08/10/04; Effective 10/11, policy changes will appear on the webpage cited
Perimeter Firewall Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/firewall.aspx
03/09/10; Effective 10/11, policy changes will appear on the webpage cited
Hardware Maintenance Procedure
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/hardwaremaintenance.aspx
05/06; Effective 10/11, policy changes will appear on the webpage cited
Information Technology Code of Ethics
Refer to ETSU Personnel Policies and Procedures (PPP-44) linked from OIT Policy List:
http://www.etsu.edu/oit/policies/inftechcodeethics.aspx
Effective 10/11, policy changes will appear on the webpage cited
Policy on OIT Sponsored Personal Computers
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/oitsponsoredpcs.aspx
12/09; Effective 10/11, policy changes will appear on the webpage cited
Personal Information Security Breach Policy
Refer to the OIT Policy (linked to Tennessee State Code Annotated 39-14-150) List at:
http://www.etsu.edu/oit/policies/pisb.aspx
08/10/10; Effective 10/11, policy changes will appear on the webpage cited
Portable Computational Device Security Policy
Refer to the OIT Policy (linked to Tennessee State Code Annotated 47-18-2901) List at:
http://www.etsu.edu/oit/policies/portabledevsec.aspx
Effective 03/06, policy changes will appear on the webpage cited
Desktop/Laptop Computer & Printer Installation Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/pcinstallation.aspx
08/07; Effective 10/11, policy changes will appear on the webpage cited
University Computing Standards Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/UnivStandsPolicy.aspx
02/11/03; Effective 03/06, policy changes will appear on the webpage cited
VPN/Remote Access Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/vpn.aspx
03/09/10; Effective 10/11, policy changes will appear on the webpage cited
Wireless Networking Policy
Refer to the OIT Policy List at:
http://www.etsu.edu/oit/policies/wirelessnetworking.aspx
11/16/06; Effective 10/11, policy changes will appear on the webpage cited
Data Access Policy
This “Policy on Access to ETSU Institutionally Maintained Electronic Data, Data Files, Software, and Networks” has been developed to define employees' responsibility concerning access and use of ETSU data files, software, and networks. The policy is intended to facilitate the accurate, secure, rapid, and efficient dissemination of data from institutionally maintained electronic files and networks to University employees, students, and other constituencies.
Because data are more readily available and the technical capabilities to access electronic files in an open environment have increased, a clear definition of employees' responsibility in handling data and procedures for access has been defined and implemented.
ETSU Data
ETSU data and data files in any media are to be considered and treated as sensitive data. Any ETSU-generated information; i.e., papers, letters, documents, maps, books, photographs, microfilms, electronic data processing files and output, films, sound recordings, or other material regardless of physical form or characteristics made or received in connection with the transaction of official ETSU business, is classified as ETSU data.
All employees have access to various types of ETSU data. These data are considered sensitive and in some cases confidential and are the property of ETSU. Data should not be released in any fashion without the consent of those authorized for its release. All data files for the University are protected by the Computer Crimes Act, Tennessee Code Annotated Sections 39-14-601 et seq., as well as the Copyright Act of 1976, 17 U.S.C. Sections 101 et seq., or any other law that may be applicable, and ETSU Financial Procedures Policy FP-12. In addition, employees with access to student record information should be aware this information is considered privileged and confidential. These records are protected under the Family Educational Rights and Privacy Act (FERPA) of 1974 as well as Tennessee Code Annotated Section 10-7-301, 10-7-503 and 10-7-504 and ETSU Financial Procedures Policy FP-12 (Public Records-Inspecting and Copying).
Guidelines concerning dissemination of ETSU data have been included in the ETSU Faculty Handbook, Personnel Policies and Procedures Manual, and ETSU Student Worker Handbook.
Any questions concerning the release of data should be directed to Director of University Relations or through appropriate channels to the Office of any Vice President.
Policy on Access to Electronic Data, Data Files, Software, and Networks
Access to institutionally maintained electronic data, data files, software, and networks will be available to all employees on a “need to know” basis. “Need to know” will be determined by the assigned job duties, the employee's supervisor, or student's instructor in conjunction with the official custodian of the data file. The official custodian is the creator of the file. A change in duties will require a review of the data files that have been deemed appropriate for access. When an employee vacates a position, all access will be removed; and computer files will be deleted or, if requested, transferred to the supervisor. Questions about access should be directed to the Office of Information Technology.
Access may be for inquiry (ability to read the data files) or for update and inquiry (ability to read the data files and make changes/corrections or enter new data on-line). Responsibility for file maintenance and access authorization resides with the official custodian of the file(s). The official custodian and access control of a data file(s) will be established at the time the data file or system is created. The Office of Information Resources is responsible for enabling and implementing control appropriate to enforce access authorizations in the University's communications and computing environment.
The request for access will be in writing using the “Computer Account Request Form,” which provides a link to the “Computer Resources Code of Ethics.” The employee's signature on this form signifies their acceptance of the code of ethics and all policies governing access.
It is a conflict of interest to update one's personal records (student and/or employee). In order to protect on-line users of data files from this conflict of interest, under no circumstances may employees work with their own records. This conflict of interest is also construed to include the records of relatives and close personal friends.
Any irresponsible or unethical use of a computer resource, as defined in the Faculty Handbook, will result in the immediate denial of use of the resource. Violations will be referred to the appropriate division for disciplinary and/or legal action including, but not limited to, restitution; restrictions; reprimand; suspension; probation; expulsion; termination; and, if necessary, legal action. Appeals will be handled through due process channels (Administrative Procedures Act) already established for students and/or staff. Student violations will be referred to the Vice President for Student Affairs and/or Vice President for Health Affairs; faculty violations will be referred to the Vice President for Academic Affairs and/or the Vice President for Health Affairs; and staff violations will be referred to the Vice President for Administration and Development.
Access to Institutional Data
Every individual requiring access to institutional data must file an application for an account on the administrative systems indicating the systems where access is needed. The process varies depending on the system being requested. Use of available information shall be in accordance with the Policy on Access to ETSU Institutionally Maintained Electronic Data, Data Files, Software, and Networks.
Banner
Banner is the name of the administrative software that serves ETSU. It replaces FRS, SIS, HRS and ADS. Additional information can be found at the following link:
http://www.etsu.edu/banner/default.aspx
Effective 10/11, policy changes will appear on the webpage cited
OIT Computer Labs
There are several student computer labs throughout the ETSU campus. Linked below are the OIT labs with a brief overview of each, hours of operation, and information about the computer equipment and printers in each lab.
http://www.etsu.edu/oit/facultystaffinfo/complabinfo.aspx
http://www.etsu.edu/oit/special/Campus_Lab_Inventory.aspx
Effective 10/11, policy changes will appear on the webpage cited
Multimedia Classrooms
Information Technology, in conjunction with the Technology Access Fee Committee plans, constructs and maintains the multimedia classrooms at the main campus and also at the remote campuses. A listing of all the classrooms with more detailed information can be found at the link below:
http://www.etsu.edu/oit/special/multimedia.aspx
07/19/10; Effective 10/11, policy changes will appear on the webpage cited
Workshops
Workshops and seminars are offered periodically and include a wide variety of computer-related topics. A current list of workshops can be found at:
http://www.etsu.edu/academicaffairs/elearning/ats/technologysupport/workshops/default.aspx
Faculty and staff are invitedto participate in all workshops and seminars conducted by Academic Technology Support.
Effective 10/11, policy changes will appear on the webpage cited
Consulting
Consultation and technical and programming assistance through the Client Support Services staff are available to the faculty and staff. Services are provided subject to staff workload. Faculty developing research proposals are requested to consult with Information Systems in determining the scope and nature of their computer research needs. Analysts are available in Office of Information Technology who will provide consultation to the faculty in research design; assist in getting data into the computer; help faculty to utilize the available packaged programs; help develop computer-assisted instruction material for classroom use; and, in general, help the faculty in the field of research and the use of the computer.
Information Technology Governance Committee (ITGC)
http://www.etsu.edu/oit/about/itgc.aspx
07/10/01; Effective 10/11, policy changes will appear on the webpage cite
Academic Technology Support Services
Academic Technology Support (ATS) provides ETSU's faculty and academic staff with training, resources, and support needed to use technology in their teaching and research. Additional information about ATS can be found at:
http://www.etsu.edu/academicaffairs/elearning/ats/
09/96; 11/20/97 (10/19/00); 06/28/11; Effective 10/11, policy changes will appear on the webpage cited
Faculty Guide to Copyright Fair-Use
General Information for Faculty and Staff
Copyright is a form of protection provided by the laws of the United States (Title 17, U.S. Code) 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.” It is given to individual, group or corporate authors and to “works for hire,” and includes any creative work written or recorded in a “fixed” format. Protections last for the term of an author's life plus 75 years after death; copyright for corporate works can range from 95-120 years. Copyright and academic use of material under copyright in the United States is governed by the following laws: U.S. Copyright Act of 1976, Title 17 U.S.C. §§ 101 – 810; Section 121 of the U.S. Copyright Act (Chafee Amendment) of 1996; the Digital Millennium Copyright Act (DMCA) of 1998; and the Technology, Education and Copyright Harmonization Act (TEACH Act) of 2002.
It is illegal for anyone to violate the rights provided to the owner of a copyright. The Copyright Act contains provisions prescribing damages that can be assessed if infringements are committed. In civil cases, the law allows the assessment of actual damages or statutory damages. For each infringement, statutory damages range from $250 to $10,000.
These rights, however, are limited in scope. Copyright protections eventually expire and the previously protected material becomes part of the public domain and available for use by the public at large. Material produced by the U.S. government is exempt from copyright, as taxpayers have funded its creation. Sections 107-118 of the Copyright Act establish limitations to copyright protections.
One major limitation is the doctrine of “fair-use” which is given statutory basis in
Section 107 of the Act.
Copyright Fair Use at the University
Section 107 of the Copyright act states that the fair-use of a copyrighted work, including use by reproduction in copies, is not an infringement of copyright for certain purposes, such as criticism, comment, teaching (including multiple copies for classroom use), scholarship or research. In determining fair-use, each of the following four factors should be considered:
1. the purpose and character of the use, including whether such use is of a commercial nature or is for non-profit educational purposes;
2. the nature of the copyrighted work;
3. the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
4. the effect of the use upon the potential market for or value of the copyrighted work.
The following guidelines are based on these factors. They illustrate proper use of copyrighted material under the fair-use doctrine for teaching, research, library/media, computer, and archives copying. The directives outlined below should be taken as minimum standards for properly exercising fair use of the copyrighted materials.
Permissible Photocopying
The copyright law allows anyone to photocopy copyrighted works without securing permission from the copyright owner when the photocopying amounts to a “fair use” of the material, and applies to all forms of photocopying, whether undertaken, for example, at a commercial copying center, at the University's departmental copying facilities or at a self-service machine. Users of commercial or departmental copy services should be prepared to provide documentation of permission from the publisher or copyright owner when such copying is beyond the limits of fair use described below. Instructions for securing permission to photocopy copyrighted works appear at the end of this guide. It is the policy of this University that the user (faculty, staff, or student) secure permission whenever it is legally required. To assure compliance with the law, all public copy machine installations at the University will display one of the following notices. Notices must be printed on heavy paper or other durable material in type at least 18 points in size. Notices must be clearly visible and legible to the casual observer within the immediate vicinity.
Supervised Copier where Materials are Brought to be Copied by Designated Operator
NOTICE - WARNING CONCERNING COPYRIGHT RESTRICTIONS
The copyright law of the United States (Title 17, United States Code) governs the making of photocopies or other reproductions of copyrighted materials. Under certain conditions specified in the law, libraries and archives are authorized to furnish a photocopy or other reproduction. One of these specific conditions is that the photocopy or reproduction is not to be “used for any purpose other than private study, scholarship, or research.” If a user makes a request for, or later uses, a photocopy or reproduction for purposes in excess “of fair use” that user may be liable for copyright infringement.
This institution reserves the right to refuse to accept a copying order if, in its judgment, fulfillment of the order would involve violation of copyright law.
Unsupervised or Self-Service (Coin-Operated) Copier
NOTICE
The copyright law of the United States (Title 17 U.S. Code) governs the making of photocopiers or other reproductions of copyrighted material. The person using this equipment is liable for any infringement of the copyright law by themselves or others under their direction or control.
Fair-Use Guidelines for Copying
Single Copying for Faculty
A single copy may be made of any of the following by or for a faculty member at his or her individual request for scholarly research or use in teaching or in preparation for teaching a class:
- One chapter of a book
- One article from a periodical or newspaper
- One short story, short essay or short poem, whether or not from a collective work
- One chart, graph, diagram, drawing, cartoon or picture from a book, periodical, or newspaper.
Multiple Copies for Classroom Use
Multiple copies (not to exceed in any event more than one copy per student in a course) may be made by or for the faculty member giving the course for classroom use or discussion; provided that:
The copying meets the tests of brevity and spontaneity defined below, and
Meets the cumulative effect test defined below, and
Each copy includes a notice of copyright.
Definitions for Multiple Copies for Classroom Use
Brevity
1. Poetry
(a) complete poem if less than 250 words and if printed on not more than two pages, or
(b) from a longer poem, an excerpt if not more than 250 words.
2. Prose
(a) either a complete article, story or essay of less than 2,500 words, or
(b) an excerpt from any prose work if not more than 1,000 words or 10% of the work, whichever is less, but in any event a minimum of
500 words. (Each of the numerical limits stated in “1” and “2” above may be expanded to permit the completion of an unfinished line
of a poem or of an unfinished prose paragraph.)
3. Illustration
One chart, graph, diagram, drawing, cartoon or picture per book or per periodical issue.
4. Special Works
Certain works in poetry, prose or in “poetic prose” which often combine language and illustrations and which are intended sometimes for
children and at other times for a more general audience fall short of 2,500 words in their entirety. Item “(a)” above notwithstanding, such
“special” works may not be reproduced in their entirety; however, an excerpt comprising not more than two of the published pages of
such special work and containing not more than 10% of the words found in the text thereof, may be reproduced.
Spontaneity
1. The copying is at the instance and inspiration of the individual faculty member, and
2. The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that
it would be unreasonable to expect a timely reply to a request for permission.
Cumulative Effect
1. The copying of the materials is for only one course in the institution in which the copies are made.
2. Not more than one short poem, article, story, essay or two excerpts may be copied from the same author, nor more than three from the
same collective work or periodical volume during one class term.
3. There shall not be more than nine instances of such multiple copying for one course during one class term.
The limitations stated in “1” and “2” above shall not apply to current news periodicals and newspapers and current news sections of other periodicals.
Library Reserve
At the request of a faculty member, libraries of the University may place on reserve one copy of excerpts from copyrighted works in accordance with the fair use guidelines above. For example, a library may place on reserve one copy of an entire article, or an entire chapter from a book, or an entire poem. Whenever appropriate for collection development purposes, the library will purchase one copy of a book from which a chapter has been placed on reserve. Multiple copies of parts of books, periodicals, or media will not be placed on reserve without the publisher's or copyright holder's prior permission. The Sherrod Library may pay up to $50.00 to the publisher through the Copyright Clearance Center for each instance of material placed on reserve by faculty. Instructions for securing permission to make multiple photocopies of copyrighted works appear at the end of this guide.
Uses of Photocopied Material Requiring Permission
Repetitive copying: The classroom or library reserve use of photocopied materials in multiple courses and sections, or in successive semesters requires advance permission from the owner of the copyright.
Consumable works: The duplication of works that are consumed in the classroom such as standardized tests, exercises, and workbooks requires permission from the copyright owner.
Creation of anthologies as basic text material for a course: Creation of a collective work or anthology by photocopying a number of copyrighted articles and excerpts to be purchased and used together as the basic text for a course requires the permission of the copyright owners.
Copying for profit: Faculty should not charge students more than the actual cost of photocopying the material that is given to each student.
Interlibrary Loan
All interlibrary loans originating at the University will be processed by the Interlibrary Loan department of Sherrod Library (the Colleges of Medicine and Pharmacy will utilize the Quillen Learning Resources Center or medical library). The library will be responsible for maintaining all records required by the Copyright Law, and the guidelines of the National Commission on New Technological Uses of Copyrighted Works (“CONTU”). During a single
calendar year the library may obtain from the previous five years of publication no more than five articles from any one journal title it does not own, unless permission is granted to exceed this limit. After this CONTU guideline is exceeded, the applicable library will pay appropriate copyright fees to the affected publisher through the Copyright Clearance Center.
Off-Air Videotape Recording for Educational Purposes
The following guidelines are derived from the statement adopted by the Kastenmeier House Subcommittee on Courts, Civil Liberties and Administration of Justice. The guidelines apply only to off-air recording by non-profit educational institutions and to programming from commercial and public broadcast television networks received via transmission by a local television station or a local subscription cable service. They are not intended to apply to direct taping of a satellite feed, which requires advance permission from the copyright holder.
A broadcast program may be recorded off-air simultaneously with broadcast transmission and retained by the University for a period not to exceed the first 45 consecutive calendar days after date of recording. Upon conclusion of such retention period, all off-air recordings must be erased or destroyed immediately. “Broadcast programs” are television program transmitted by television stations for reception by the general public without charge.
Off-air recordings may be used once by individual faculty in the course of relevant teaching activities, and repeated once only when instructional reinforcement is necessary, in classrooms and similar places devoted to instruction within a single building, cluster or campus, as well as in the homes of students receiving formalized home instruction, during the first ten consecutive school days in the 45 calendar day retention period.
Off-air recordings may be made only at the request of and used by individual faculty, and may not be regularly recorded in anticipation of requests. No broadcast program may be recorded off-air more than once at the request of the same faculty, regardless of the number of times the program may be broadcast.
After the first ten consecutive school days, off-air recordings may be used up to the end of the 45 calendar day retention period only for teacher evaluation purposes; that is, to determine whether or not to include the broadcast program in the teaching curriculum, and may not be used in the recording institution for student exhibition or any other non-evaluation purpose without authorization.
Off-air recordings need not be used in their entirety, but the recorded programs may not be altered from their original content. Off air recordings may not be physically or electronically combined or merged to constitute teaching anthologies or compilations.
All copies of off-air recordings must include the copyright notice on the broadcast program as recorded.
Public Performance of Videotapes and Audiovisual Works
The concept of nontheatrical performances, which was well established prior to the 1976 copyright revision, still applies to films and filmstrips, but not to videotapes. Many videotapes are now available for inexpensive purchase or rental with a label warning “For Home Use Only.” Because copyright proprietors hold exclusive rights to display and perform their works, purchase or rental of these materials does not include the right to perform publicly.
While educational use does involve public performance, Section 110 of the Copyright Act provides an exemption for face-to-face teaching activities of a nonprofit educational institution, which is assumed (in the absence of a test case) by most parties to apply to “home use only” tapes as well as those specifically intended for instructional applications. The limitations of what is permissible under this exemption are as follows:
a. They must be shown in nonprofit educational institutions.
b. They must be shown only to students and educators.
c. They must be shown by students, instructors, or guest lecturers.
d. They must be shown in a classroom or other school location devoted to instruction.
e. They must be shown either in a face-to-face setting or where students and teacher(s) are in the same building or general area.
f. They must be shown using a legitimate (that is, not illegally reproduced) copy with the copyright notice included.
Performance of audiovisual works, even in nonprofit education institutions, is prohibited without permission of the copyright holder when:
a. They are used for entertainment, recreation, or even for their cultural or intellectual value but are unrelated to teaching activity.
b. They are transmitted by radio or television (either closed or open circuit) from an outside location.
c. They are shown in an auditorium or stadium before an audience not confined to students, such as a sporting event or community lecture or
arts series.
d. They involve an illegally acquired or duplicated copy of the work.
The Technology, Education and Copyright Harmonization Act of 2002 (TEACH Act) addresses such performances in online classes. Fair use guidelines apply, and access to copyrighted material must be controlled in the following manner:
- Material is only for use by students;
- Viewing the material is restricted to students enrolled in the class;
- Ability to further copy the material is restricted
- Copyright notice is displayed
Duplication of Recordings, Films, Slides, and Other Audiovisual Works
Generally, permission must be obtained for any duplication of non-musical sound recordings, films, slides and other audiovisual works that are copyrighted. The following guidelines are considered within the ambit of fair use at the University for the two audiovisual categories described.
Photographic Copying
Photographic copying of a single copy of one chart, graph, diagram, drawing, cartoon, or picture from a book, periodical, or newspaper may be made, provided the copy is used for scholarly research, teaching, or preparation to teach a class.
Non-Music Audio Recording
A single audio recording copy may be made if it corresponds to the spoken version of a chapter from a book, an article from a periodical, a short story, short essay or short poem,
whether or not from the collective work, and provided the copy is used for scholarly research, teaching, or preparation to teach a class.
Music
Permissible Uses
Emergency copying to replace purchased printed copies of music that for any reason are not available for an imminent performance provided purchased replacement copies shall be substituted in due course.
For academic purposes other than performance, single or multiple copies of excerpts of works may be made, provided that the excerpts do not comprise a part of the whole which would constitute a performable unit such as a section, movement, or aria, but in no case more than (10%) of the whole work. The number of copies shall not exceed one copy per pupil.
For academic purposes other than performance, a single copy of an entire performable unit (section, movement, aria, etc.) that is (1) confirmed by the copyright proprietor to be out of print, or (2) unavailable except in a larger work, may be made by or for a teacher solely for the purpose of his or her scholarly research or in preparation to teach a class.
Printed copies that have been purchased may be edited or simplified provided that the fundamental character of the work is not distorted or the lyrics, if any, altered or lyrics added if none exist.
A single copy of recordings of performance by students may be made for evaluation or rehearsal purposes and may be retained by the educational institution or individual teacher. A single copy of a sound recording (such as a tape, disc, or cassette) of copyrighted music may be made from sound recordings owned by an educational institution or an individual teacher for the purpose of constructing aural exercises or examinations and may be retained by the educational institution or individual teacher. (This pertains only to the copyright of the music itself and not to any copyright that may exist in the sound recording).
Prohibitions
The following acts of copying copyrighted materials are prohibited:
- Copying to create or replace or substitute for anthologies, compilations, or collective works.
- Copying of or from works intended to be “consumable” in the course of study or teaching, such as workbooks, exercises, standardized tests, answer sheets and like material
- Copying for the purpose of performance, except as listed under Permissible Uses.
- Copying for the purpose of substituting for the purchase of music, except as in Permissible Uses.
Copying without inclusion of the copyright notice that appears on the printed copy.
Archives
In order to comply with the Copyright Act while at the same time making its resources as freely available to researchers as possible, the Archives of Appalachia will:
a. Seek to have copyright transferred in writing at the time manuscripts are transferred.
b. Make written notes on the identity of the copyright holders when copyright is not transferred, insofar as the information is available, and
freely share this information with interested researchers.
c. In the printed regulations and rules for use of the Archives, explain that it is primarily the researcher(s) responsibility to inform him/herself
regarding the copyright status of the records he/she uses.
d. Display the required copyright warnings, and notices in the research room on copy request forms and on the copies themselves.
e. Require all users requesting photocopies to complete a “Request for Photoduplication” form, which includes a statement of purpose and
of assumption of all liability for copyright infringement by the user. These forms will be permanently maintained by the Archives and will be
consulted whenever a systematic copying endeavor appears to be underway.
f. Refuse to make copies or give permission to quote copyright-protected items to commercial vendors without written permission of
copyright owners.
g. Refuse to copy or to give permission to quote records that the Archives has agreed not to reproduce.
h. Freely permit copying and publication of all records whose copyright the Archives controls except that for-profit publications will be
expected to pay a standard fee for use of materials.
Computer Programs and Documentation
The Office of Computer Services has adopted the following policy on the use and copying of microcomputer programs and documentation:
a. The Office of Computer Services does not sanction, encourage, condone, or consent to unauthorized software use.
b. The software collections in the microcomputer laboratories will utilize, hold, and distribute only public domain software and documentation
and authorized original, backup and archival copies of copyrighted software and documentation.
c. Instructors of courses, workshops or other instructional offerings conducted in the microcomputer laboratories are requested to utilize only
authorized copies of copyrighted software and documentation.
d. Copying or otherwise reproducing any part of a copyrighted program or its documentation which would be in violation of the licensing
agreement will not be sanctioned without written and specific permission of the copyright holder.
In addition, the Tennessee Board of Regents Office of General Counsel has issued the following statement, which serves as the University's guidelines:
“The unauthorized use or distribution of computer software violates federal and state laws. The making of copies of microcomputer software is subject to the federal copyright laws. Violation of such laws may result in the filing of a civil law suit against the alleged infringer. If infringement is proven, the infringer may be ordered by the court to pay monetary damages. It is also a violation of the State Computer Crimes Act to acquire or use computer software without proper authorization. Such illegal activity may result in criminal prosecution. In addition, any such activity may subject the employee to disciplinary sanctions, including termination. Moreover institutional employees may be held personally liable in civil actions for activities that are in violation of the state law and/or Board policy. The educational ‘fair use’ defense to liability for copyright infringement is extremely limited as defined by federal statute. It affords no special protection to the unauthorized use of computer software. A license to use or make copies of computer software programs must be procured by contractual agreement. The execution of such license agreement is subject to applicable Board policies and guidelines. It is recommended that software that is not acquired by the institution pursuant to a license agreement approved by the Board should not be used without written permission of the campus director of the computer facilities."
Sources of Information
Public Law 94-553. 94th Congress. Oct 19, 1976. Title 17 – Copyrights:
http://www.copyright.gov/title17
of the U.S. Copyright Act (Chafee Amendment) of 1996:
http://www.loc.gov/nls/reference/factsheets/copyright.html
Digital Millennium Copyright Act (DMCA) of 1998:
http://www.copyright.gov/legislation/hr2281.pdf
Technology, Education and Copyright Harmonization Act (TEACH Act) of 2002:
http://www.copyright.gov/legislation/pl107-273.html
Gasaway, Laura. When U.S. Works Pass Into the Public Domain: http://www.unc.edu/~unclng/public-d.htm
ETSU Office of Computer Services “Policy on the Use of Copying of Microcomputer
Programs and Documentation.” Pieces of Eight. 4:5, Jan 85. pp. 4-5
Suggestions for Obtaining Permission to Reproduce Copyrighted Material
Experience has shown that faculty have greater success than the library in obtaining permission from copyright owners to reproduce and/or reuse copies for teaching. Generally, all that is asked of faculty by the copyright owner is that they follow fair use provisions of the copyright law with regard to educational purpose, brevity of the copied material, consideration for the cumulative effect of copying, and that a notice of copyright ownership be included on the reproduced material. In a few cases, however, the copyright owner might ask for a monetary payment, set specific conditions, or even deny permission outright. In the case of library reserve, the faculty member assumes full responsibility for following copyright requirements. The following facts are necessary in any letter requesting permission to reproduce additional copies and/or reuse of copyrighted material for educational purposes:
- Title, author, and/or editor, and edition of material to be duplicated.
- Exact material to be used; page numbers, chapters, and if practicable, a photocopy of the material.
- Number of copies you will be reproducing and/or reusing.
- Use to be made of the duplicated materials; that is, educational research use, or classroom teaching.
- Form of distribution; library reserve, classroom distribution, etc.
- Whether or not the material is to be sold.
- Type of reproduction; photocopy, ditto, offset, typeset, etc.
04/03/89; 07/11
Intellectual Property Policy
Refer to the Office of Research and Sponsored Programs:
http://www.etsu.edu/research/ipandtechtransfer/policies.aspx
05/04/84; 06/08/06; Effective 10/11, policy changes will appear on the webpage cited
Constitution of the Faculty Senate
Refer to the Faculty Senate website at the following link:
http://www.etsu.edu/senate/constitution.aspx
03/31/89; 06/28/11; Effective 10/11, policy changes will appear on the webpage cited
Refer to the Faculty Senate website at the following link:
http://www.etsu.edu/senate/bylaws.aspx
03/31/89; 3/8/01; 06/28/11; Effective 10/11, policy changes will appear on the webpage cited
Misconduct in Scholarship and Research
Refer to the Office of Research and Sponsored Programs:
http://www.etsu.edu/research/Misconduct_Policy.aspx
12/04/97; Effective 10/11, policy changes will appear on the webpage cited
Conflict of Interest
These policies can be accessed through the Office of Research and Sponsored Programs through the following link:
http://www.etsu.edu/research/researchcompliance/conflictofinterest.aspx
10/25/95; 02/01; 03/06/08; Effective 10/11, policy changes will appear on the webpage cited
Nepotism Policy
Refer to ETSU Personnel Policies and Procedures Manual at
http://www.etsu.edu/humanres/relations/PPP29.aspx
Effective 03/06, policy changes will appear on the webpage cited
Academic Chair (Non COM) Appointment and Stipend Policy
Notice of Vacancy, Selection Protocol, and Periodic Review of Department Chairs
Provisions for providing notice of a vacancy in the position of Academic Chair and the selection protocol to be employed for a search are described in the section on Selection and Periodic Review of Academic Administrative Personnel of this Handbook. Provisions for periodic review of department chairs are also described in this section.
Initial Appointments of Department Chairs
For externally hired chairs, an initial faculty salary level should be established based on the range of traditional considerations used to determine salary levels.
For internally hired chairs, the base salary may be subject to adjustment based on the range of traditional considerations used to determine salary levels.
When some faculty members in the department are on AY contracts, the base salary for initial appointment of a chair should be established for the academic year.
For AY appointed chairs, the designated summer stipend should also be established.
When an AY base salary is to be converted to a fiscal year appointment, the AY salary is increased by 25% to establish the FY salary.
The designated administrative stipend is added to either the AY or FY salary.
The appointment letter and contract for a department chair should clearly indicate the base faculty salary, term of appointment (FY or AY), summer stipend if appropriate, and administrative stipend to be received as department chair.
Stipends receive any across-the-board increases that apply to base salary, thus constantly indexing their value for current chairs. Stipend levels for new appointees should be indexed annually, thus making them consistent with actual increases for existing chairs.
When economically feasible and warranted by the size and complexity of the department, chairs should be appointed on a fiscal year basis. When a FY appointment is not appropriate or acceptable to the chair or college, a separate summer administrative stipend should be established for the department by the college dean. This summer stipend is established in credit hours and is paid at the same rate as summer instruction from the Summer budget.
Chairs on fiscal year contracts are expected to fulfill all employment obligations and receive all benefits stipulated in Board of Regents Policy for fiscal year employees.
Transitions to fiscal year appointments and stipend adjustments will not be employed to decrease the current administrative stipend of any department.
Determination and Implementation of Administrative Stipend and Teaching Load for Academic Chair
Administrative stipends for departmental chairs are set at three dollar levels that reflect differing levels of administrative workload. The system is based on the following three factors: Total FTE Faculty based on the average of Fall/Spring figures to address faculty size, graduate teaching assistants, part-time instructors; Total Student Credit Hour Production to address service components, majors, and graduate students; and Complexity based on number of academic concentrations, laboratory/studio/clinical components, grants, off-campus program, specialized accreditation/licensure/regulatory, equipment and support personnel, and extensive community service requirements. The formula will weight Faculty, Students, and Complexity as follows: Faculty at one-third, Students at one-third, and Complexity at one-third. Each of the three factors will be assigned a number between 1 (low) and 5 (high), based on a subjective assignment by the academic dean in consultation with the office of the Vice President for Academic Affairs and the Vice President of Health Affairs.
The administrative stipend for each department chair is set to reflect an assessment of workload that is classified as High, Moderate, or Low. Documentation of which departments are assessed in each workload level and the associated stipend received by the chair is available in the Provost’s Data Warehouse and is communicated periodically to the Deans Council and the Chair of the Council of Chairs. Determination of whether departments are assessed in appropriate categories will be reviewed periodically to respond to significant departmental changes in size and complexity.
The number of courses to be taught by a chair is determined by the chair and college dean. It is based upon the anticipated administrative workload. As a guideline, but intended only as a guideline, chairs of low complexity departments would be expected to teach a minimum of five courses per fiscal year; chairs of medium complexity departments would teach a minimum of four courses; and chairs of high complexity departments would teach a minimum of three courses per fiscal year. Generally, summer teaching is expected, but would be a function of the individual department’s complexity summer programs, and summer administrative responsibilities. This decision would be made jointly, on an annual basis, by the department chair and dean.
Provision for Retaining of Stipend when Relinquishing Position of Academic Chair
Except as provided for in this policy, AY chairs return to faculty status at their AY base salary. When FY chairs return to faculty status, the administrative stipend is removed and the AY base salary is set at 80% of the remaining FY salary unless it is determined to be appropriate for the appointment to continue on a fiscal year basis.
Upon positive recommendation by the dean and concurrence of the appropriate Vice President, a portion of the current chair stipend may be retained in the faculty member’s base salary if he or she relinquishes chair duties after having served a minimum of five or more years as chair. The following calculation should be made to determine the portion to be retained:
| Years served as chair | Portion of stipend that may be retained based upon resuming faculty ranks |
| 5 years | 50% |
|
6 years |
60% |
| 7 years | 70% |
| 8 years | 80% |
| 9 years | 90% |
| 10 or more years | 100% |
This provision which would permit retaining a portion of the stipend will be phased in, and no chair in the initial 2002-03 year of implementation will receive more than five years of credit for prior service in the position of chair that would be creditable toward determining portion of stipend to be retained.
9/17/02
Campus Sex Crimes Prevention Policy
Refer to ETSU Campus Security Report at
http://www.etsu.edu/dps/safetysecurity/securityreport.aspx
Effective 03/06, policy changes will appear on the webpage cited