Section 2: Employment

Definition and Types of Faculty 
Employee Grievance/Complaint Procedures
Equal Opportunity for Employment
Faculty Ranks and Promotion
Financial Exigency Policy
Hiring Procedures for Faculty
Personnel Policies: Records, Leaves, Retirement, Benefits
Selection and Periodic Review of Academic Administrative Personnel
Standards of Conduct for Faculty
Tenure
Workload, Reporting, and Evaluation for Full-Time Faculty 
Workplace Violence Prevention Guideline

Definition and Types of Faculty

TBR Policy 5-02-01-00 contains the Board’s official definition of faculty:

TBR 5:02:01:00; 09/30/83; Effective 03/06, policy changes will appear on the webpage cited TBR Policy 5:02:07:10 http://www.tbr.edu/policies/default.aspx?id=1496 defines the following types of faculty appointments.

Temporary Appointments

Temporary appointments are appointments for a specific purpose for a time appropriate to that purpose or for an unspecified period, which appointments may be terminated according to the terms of the contract of employment or appointment. Temporary appointments ordinarily should be used only for lecturers, adjunct or part-time faculty, faculty employed to replace regular faculty on leave of absence, and faculty employed pursuant to grants or for projects funded in whole or in part by non-appropriated funds. In addition, temporary appointments may be used for faculty employed on the basis of state appropriated funds in departments, divisions, or other academic units where the permanent and continued need for the position has not been established, provided that such appointments normally should not be in excess of three academic years. After that, the position can be re-advertised, and the instructor can apply again and be hired if he/she is the best candidate. Appointments of faculty members supported by more than fifty percent (50%) grant funds or other soft money sources, may be approved by the university presidents for periods in excess of three years. Other extensions of temporary appointments for periods in excess of three (3) years require the approval of the Chancellor.

Post Retirement

Refer to the Tennessee Board of Regents policy at:

http://www.tbr.edu/policies/default.aspx?id=1944

Tenure-Track Appointments

Tenure-track appointments are appointments for regular full-time faculty with academic rank and may be for the academic or fiscal year. Tenure-track appointments are for faculty who are employed in a probationary period of employment prior to consideration for tenure. Tenure-track appointments shall not include any right to permanent or continuous employment, shall not create any manner of legal right, interest, or expectancy of renewal or any other type of appointment, and shall be subject to annual renewal by the institution.

Tenured Appointments

Tenure appointments are appointments of full-time faculty who have been awarded tenure by the Board pursuant to the provisions of this policy. To protect academic freedom, tenure appointments include the assurance of continued employment for the appointment year for an indefinite period, subject to expiration, relinquishment, or termination of tenure as hereinafter provided. Such appointments do not include assurance of continued employment at any specified salary, position, or employment during summer sessions or intersessions.
No faculty member shall acquire or be entitled to any interest in a tenure appointment at a university without a recommendation for tenure by the president of the university and an affirmative award of tenure by the Board of Regents. No other person shall have any authority to make any representation concerning tenure to any faculty member, and failure to give timely notice of non-renewal of a contract shall not result in the acquisition of a tenure appointment, but shall result in the right of the faculty member to another year of service at the university, provided that no tenure appeals remain outstanding due to lack of cooperation and/or appropriate action on the part of the candidate in completing the appeal process.

Recommendations for or against tenure should originate from the department or academic program unit in which the faculty member is assigned and should include appropriate participation in the recommendation by tenured faculty in the department or academic program unit.

Clinical-Track Appointments

Clinical-track appointments (a) are full-time faculty appointments, (b) are non-tenurable appointments for a fixed term, (c) are renewable, (d) permit promotion in rank, and (e) permit conversion of the appointment to tenure- track at any time prior to but not later than the expiration of the first three-year term, depending on funding availability and faculty performance. In instances where the appointment is converted to tenure-track, the three (3) years served in the clinical-track appointment, at the discretion of the president, may be credited toward the individual's probationary status. Faculty in this classification participate in the academic programs by providing professional services, by exposing students to their professional expertise, and by directing students' educational experiences in clinical/professional settings where the faculty members practice. Clinical-track appointments may be supported, in whole or in part, by appropriated funds or funding from grants or contracts, from clinical practice or clinical/professional facilities, or from other sources.

Convertible and Non-convertible Clinical-Track Appointments

A college, academic department or other academic program unit seeking to fill a particular clinical-track appointment may indicate the position is potentially convertible to a tenure track appointment (convertible clinical-track appointment). Convertible clinical-track appointments permit conversion of the appointment to tenure-track at any time prior to but no later than the expiration of the first three-year term, depending on funding availability and faculty performance. Convertible clinical-track appointments must follow the search process as defined for tenure-track appointments. Convertible track appointments not converted within the three year period, as defined above, automatically revert to non-convertible clinical-track appointments. Unless specifically identified as convertible, all clinical-track appointments are non-convertible.

Research-Track Appointments

Research-track appointments (a) are full-time faculty appointments, (b) are non-tenurable for fixed terms, (c) are renewable, (d) permit promotion in rank and (e) permit conversion of the appointment to tenure track at any time prior to but no later than the expiration of the first three-year term, depending on funding availability and faculty performance. In instances where the appointment is converted to tenure-track, the three (3) years served in the research-track appointment, at the discretion of the president, may be credited toward the individual's probationary status. Faculty in this classification participate in the academic programs by conducting independent research projects and by mentoring students involved in the research process. Research-track appointments may be supported, in whole or in part, by appropriated funds or funding form grants or contracts, or other sources.

Convertible and Non-convertible Research-Track Appointments

A college, academic department or other academic program unit seeking to fill a particular research-track appointment may indicate the position is potentially convertible to a tenure track appointment (convertible research-track appointment). Convertible research-track appointments permit conversion of the appointment to tenure-track at any time prior to but no later than the expiration of the first three-year term, depending on funding availability and faculty performance. Convertible research-track appointments must follow the search process as defined for tenure-track appointments. Convertible track appointments not converted within the three year period, as defined above, automatically revert to non-convertible research-track appointments. Unless specifically identified as convertible, all research-track appointments are non-convertible.

Coordinator Appointments

Coordinator appointments are non-tenurable, renewable appointments for fixed terms. Coordinators teach and provide administrative services within the academic departments. They devote a preponderance of their time to faculty responsibilities including, but not limited to, teaching, advising, and student mentoring. Coordinators may also have responsibility for administering special academic projects, systems support, and other administrative services.

Graduate Faculty Appointments

Guidelines for appointment to the Graduate School Faculty are located in the ETSU Graduate Catalog at: http://www.etsu.edu/gradstud/Forms.aspx?type=GraduateFaculty

04/27/90; 05/15/91; 4/27/99; 10/18/00; 10/19/00; 02/01; Effective 03/06, policy changes will appear on the webpage cited

Emeritus Appointments

East Tennessee State University will honor select faculty members, upon retirement, as emeritus faculty. These individuals will be granted certain rights and privileges in recognition of their honored role in the University community and their ongoing potential for contributions to the intellectual and cultural life of the University.

To be awarded emeritus status, faculty must have served the University for at least 10 years. Faculty should have attained the rank of Professor, Associate Professor or Assistant Professor (under exceptional circumstances Instructors may be considered). When a faculty member's written notice of retirement is received at the Office of Human Resources, that office will notify the faculty member and respective department chair of eligibility for emeritus status. The retiring member will be asked if he/she wishes to participate in the emeritus procedure. Within one month of receiving the retirement notice from the Office of Human Resources, the chair will convene the department's faculty to review the qualifications of the emeritus faculty candidate as presented in CV and other supporting documentation. Candidates will be nominated for emeritus status by majority vote. Those nominated will have materials submitted for recommendation by respective Deans and the Academic Vice President/Health Affairs Vice President, and then sent to the Office of the President where final decision will be made. (The President will have access to the Department's nomination and assessment materials, as well as decisions of approval by Deans and the appropriate Vice President.)

The title Emeritus will follow the faculty member's rank upon retirement, i.e., Professor of History, Emeritus. If the recipient is a woman, the feminine ending is used, i.e., Professor of History, Emerita. Emeritus or Emerita status will become effective July 1 of each year, and public recognition of this status will occur annually. A list of all emeritus faculty should be included in the University catalogue and other appropriate documents.

Emeritus faculty, as all retired faculty, shall be privileged to maintain an identification card entitling them to certain University privileges. These will include library use, faculty parking permit, reduced rates for athletic events and other privileges which do not exert undue financial burdens on the University. In addition, Emeriti may request the use of available office or laboratory space or may apply, upon approval, for University grants under the same rules as other faculty.

04/95; 07/01/95; 11/15/07

Joint Administrative Appointments: Faculty Role in Departmental Matters-Administrators with Faculty Status

In order to ensure free discussion, clarify roles, and avoid any semblance of conflict of interest or undue influence, faculty members in administrative positions other than departmental chairs will not participate or vote in department matters or meetings. Exceptions to this university policy may be made only by the affirmative majority vote of the faculty of the affected department. The protocol for documenting any exception to this policy will be implemented at the time of initial administrative appointment of any individual who has faculty status but is serving in an administrative position. If a department by affirmative majority vote accords an exception to the policy for an individual, that fact will be noted in writing by the department chair and will be recorded in documentation of the administrative appointment.

03/10; 10/13/11

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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.

    1. 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.

 

  1. 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.

  1. 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.

  2. 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 incidence(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:

  1. Complaints do not include a right to a hearing or adversarial proceeding before the grievance committee; and,
  2. 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

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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

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Faculty Ranks and Promotion

Promotion in rank is recognition of past achievement of the individual being considered for promotion. In addition, the advancement in rank is recognition of future potential and a sign of confidence that the individual is capable of even greater accomplishments and of assuming greater responsibilities. The policy of the Tennessee Board of Regents is to make promotions strictly on consideration of merit tempered by university and fiscal considerations. The purpose of this policy is to help ensure that promotions are made objectively, equitably, impartially, and as a recognition of merit in line with the following policy guidelines.

Principles of Promotion

The major responsibilities of the university are to provide the best possible education, to encourage scholarship, creative productivity, and research, and to furnish significant service to the citizens of the State of Tennessee. Fundamental to this responsibility is the recruitment, selection, recognition, and retention of quality faculty members. Providing incentives and rewards for superior performance is a means of assuring the continuing existence of a high quality faculty. Advancement in rank is a recognition of accomplishments and a sign of confidence that the individual is capable of greater achievements and of assuming greater responsibilities. The policy of East Tennessee State University is to grant advancement on the basis of merit. In accord with this policy, promotions are to be made equitably, impartially, and in keeping with the following guidelines.

Each academic rank represents specific qualifications, professional competencies, and a history of productivity together with the promise of continued growth. Promotion to higher rank is neither an unqualified right nor an automatic occurrence. Having completed a given period of service or performed routine duties (such as carrying a normal course load, advising students, research to the degree needed for teaching courses, participation in departmental programs and governance, and committee service) should be considered an affirmative factor in appraising a faculty member's qualifications for promotion, though they are insufficient in and of themselves to warrant promotion.

The excellence of the faculty of East Tennessee State University is maintained in part through an appraisal of each candidate for promotion by colleagues and by appropriate administrative officers. This appraisal process must begin at the departmental level with a statement of the objectives and aims of the department, the college or school of which it is an integral part, and the university as a whole. Faculty members may be recommended for promotion to a higher academic rank based upon their demonstrated qualifications for that rank as evaluated by their peers in the department concerned, the department chair, the promotion and tenure advisory committee of the school or college, the academic dean, the vice president and the president.

The appraisal of each candidate should incorporate a thorough review of achievements which are expected in teaching; research, scholarly or creative activity; and professional service. Chairs and deans shall keep a faculty member informed of their expectations for his/her performance, including requirements for promotion and tenure. Any dramatic alterations in these expectations should be made explicit. In most circumstances, this will be accomplished by the Faculty Activity System. Specific criteria to be applied to the work of an individual faculty member will be clearly delineated on annual faculty activity plans, reports and evaluations. The department chair should submit evaluations of these activities, accompanied by evidence obtained through an evaluation process designed to ensure that recommendations are predicated on substantive analysis.

The criteria according to which excellence is defined will vary from discipline to discipline. The standards established by each discipline should be carefully documented and considered by everyone involved in the evaluation of members of that discipline. Certain areas, such as the fine, performing and applied arts, may justifiably require different criteria than do other disciplines. In these, evidence of creative or other significant productivity may be presented. Achievements of this sort, however, should be of such quality and extent as to earn for the individual that same recognition in the discipline that significant research earns in areas of study in which research is an important factor.

Because of the importance and significance of the promotion deliberations, each faculty member must assume responsibility for insuring that pertinent information concerning teaching, research, scholarly or creative activity, and professional service is available to the chair and departmental committee. In addition to individual qualifications and performance, other special factors may also play a part in the recommendations eventually offered by the vice presidents. Consistent with the Tennessee Board of Regents' policy, the university administration must consider such matters as departmental rank distribution, potential for continued staff additions, prospective retirements and resignations from the department, enrollment patterns, and program changes or developments.

Definitions

Teaching

Teaching applies to any strategy in which information is imparted so that others may learn, and may include, but is not limited to, a variety of techniques including instruction, student advising and/or mentoring, development of course materials and courseware, and development of innovative approaches to instruction.

Research/Scholarship/Creative Activities

Research applies to the studious inquiry, examination, or discovery that contributes to disciplinary and interdisciplinary bodies of knowledge. Research/scholarship/creative activities may include, but are not limited to, disciplinary and interdisciplinary activities that focus on the boundaries of knowledge, field-based scholarship, creative activities (e.g., film-making, performances, or other artistic creations), and the development of innovative teaching approaches.

Professional Service

Professional service applies to involvement within the community as defined by the university's role and mission, service to the university, and service within the bounds of the applicant's academic discipline and budgeted assignment.

Terminal Degree

The TBR will use national discipline standards to determine which degrees are considered to be "terminal" within each discipline and will provide each university with a list that delineates these degrees. Each university may request blanket exceptions to these standards by classification based upon its mission and hiring practice. Each university may also petition the Board for "equivalent work experience credit" when a candidate has not obtained a terminal degree, but has a record of extraordinary achievement in a given field. The equivalent work experience credit may include relevant teaching experience or other experiences such as experience gained as an administrator, counselor, librarian, journeyman, or the like.

Rank at Appointment

New faculty members will normally be employed, based upon their qualifications, at the rank of instructor, assistant professor, associate professor or professor.

Except under unusual circumstances, individuals lacking the terminal degree, as defined by discipline, will not be hired in one of the professorial ranks. The terminal degree does not necessarily qualify one for a professorial rank nor does receipt of the terminal degree guarantee promotion to a higher rank. When time in rank is a factor for promotion, years spent in that rank in some other institution may be counted as specified in the letter or contract of appointment.

Promotion Guidelines

The academic units of the university must develop written guidelines for promotion with specific criteria for evaluating the faculty in teaching, research and service. The departmental guidelines cannot be less rigorous than TBR or university guidelines. A department or college may weigh criteria to be considered in promotion recommendations and should establish appropriate standards within criteria for the distinctive discipline(s) and the level(s) of program(s) it embodies. If such weighted criteria and standards for promotion are to be applied to candidates, they should be carefully documented in approved unit mission statements and policies. Those documents become bona fide only when (1) they have been considered by faculty in those units, (2) they have gained approval by the university as official college or departmental mission statements and related policies that are consistent with university mission and policy, and (3) they have been communicated in publications or in other written form (including the Web) to faculty affected by them. Bona fide documents are maintained as public information in the offices of appropriate department chairs and deans, the Vice President for Academic Affairs or the Vice President for Health Affairs, and the Faculty Senate.

The guidelines for promotion described in the remainder of this section represent minimum requirements for promotion of faculty in tenure and tenure-track appointments to which customary expectations concerning teaching, research or creative activity, and professional service apply. Regarding non-tenurable but promotable clinical and research appointments, it is the responsibility of departments or colleges to develop suitable criteria to evaluate promotion of individuals holding such appointments. Bona fide criteria for promotion of individuals in non-tenurable appointments should be in place before a department or college attempts to fill such appointments for the first time.

Nominees for promotion will be judged on the basis of their performance in teaching, research, scholarly and/or creative activity, and professional service as evaluated by their peers and appropriate administrative officers. Evidence of performance is to be, to the extent possible, objective and documented. Performance in these areas will be given different weights depending upon the assigned duties and responsibilities of the individual concerned and the uniqueness of the unit involved.

Requirements for minimum service in one rank are not absolute. Exceptions may be made on the basis of exceptional academic and/or other achievements of a particularly valuable nature.

All candidates for promotion to senior ranks (associate professor and professor) must meet approved departmental and/or college/school criteria for achievement in each of the three areas of teaching; research, scholarly and creative activities; and service. Promotion in rank carries the implication of attainment of criteria as well as increasing levels of achievement in the discipline. Candidates for promotion to associate professor or professor are expected to demonstrate both a higher quality and a greater cumulative quantity of achievement in each of the three areas than are candidates for promotion to lower rank.

Teaching

Since the first responsibility of the university is the education of its students, excellence in teaching should be continually encouraged and rewarded. No nomination for promotion should be made without accompanying evidence of the nominee's effectiveness as a teacher, where teaching is a part of the individual's work assignment. Inevitably, the rating of teaching ability is to some degree a value judgment. It is incumbent upon each department to develop a rating procedure whereby all factual information relative to a candidate's work as a teacher is available at the time s/he is considered for promotion. Evaluation of instruction shall be based on the following criteria with each unit assigning varying degrees of weight to each criterion. Deficiencies in some criteria may be counterbalanced by superiority in others.
Command of subject matter, and a record that indicates that the individual has remained current in his/her field of specialization.

Ability to organize and present subject matter in a logical and meaningful way.

Ability to motivate students.

Curriculum and/or program development; development of instructional techniques or teaching methods, including development of on-line teaching methods and courses.

Mentoring of undergraduate, graduate or post-graduate students, including:

  1. efforts to promote student research, scholarship, and creative activities;
  2. successful direction of theses, dissertations or independent research projects; and
  3. effective leadership of research projects intended in part to train students in research techniques.

Textbooks or other published works in the teaching area, including documentation of teaching methodology that may be shared with colleagues. Such publications would also be considered as contributions to research, scholarly or creative activities.

Excellence in the advisement of students, either formally or informally.

Honors or other recognition for contributions to teaching.

Evidence of teaching effectiveness should be provided by the candidate and affirmed by peer review at the departmental or academic program unit level and by evaluation by the department or unit chairperson and the appropriate dean. Where appropriate, evidence of teaching effectiveness may include information drawn from student evaluations of instruction.

Considerations other than hours of classroom contact should include such matters as the total number of preparations per semester, the number of courses per academic year, the level of difficulty of the courses, the number of students assigned to the classes, and time and location of courses.

Research, Scholarly, and Creative Activities

Research, scholarly, and creative activities are important areas of faculty involvement in the university. Clear evidence of the quality of work should accompany each application. Evidence supplied by the candidate might indicate performance beyond routine expectations in the following areas. Academic units will assign varying degrees of weight to each criterion. Deficiencies in some criteria should be counterbalanced by superiority in others.

Publications: textbooks, books or chapters in books, articles in refereed journals, articles in non-refereed journals, monographs, refereed and non-refereed conference proceedings, abstracts, book reviews, and other related items. Books published by reputable firms and articles in refereed journals, reviewed by recognized scholars, are more significant than those that are not subjected to such rigorous examination. It should be emphasized that quality is more important than quantity.

Papers presented: those papers presented at local, state, regional, national, and international professional meetings. The significance of content and selection processes should be considered in reviewing such presentations.

Performances or exhibitions that are invited or juried by internationally, nationally, or regionally recognized members or groups within the discipline.

Research in progress: Verification of stages of development is mandatory.

Other items such as funded or unfunded research proposals, computer software development, or audio-visual media may also be considered.

Academic departments and/or colleges may use written reviews and evaluations by qualified external peers to evaluate a candidate's research, scholarly and/or creative activity. The chair and the candidate must agree on the reviewer(s) selected from departments or institutions other than the candidate's own.

Professional Service

Evidence of the candidate's contributions in the area of professional service should be offered by the candidate. Documentation of all service activities is required. Professional service encompasses a faculty member's activities in one of three areas: university service, service to the discipline, and outreach or public service.

Service to the university (and to affiliated institutions) refers to work other than teaching and scholarship done at the department, college, or university level. A certain amount of such service is expected of every faculty member; indeed, universities could hardly function without conscientious faculty who perform committee work and other administrative responsibilities. University service includes, but is not limited to, serving on departmental committees and participating in college and university committees. Some faculty members may accept more extensive citizenship functions, such as a leadership role in the Faculty Senate, membership on a specially appointed task force, service as advisor to a university-wide student organization, and membership on a university search committee.

Service to one's discipline or to the teaching profession generally includes participation in the activities of state, regional or national professional organizations related to the candidate's discipline; association leadership; journal editorships; article and grant proposal review; guest lecturing on other campuses; and other appropriate activities. Significant professional service requires more than organizational membership and attendance. Examples of significant service include that done by an officer of a professional organization or a member of the editorial staff of a journal.

The outreach or public service function is the university's outreach to the community and society at large, with major emphasis on the application of knowledge for the solution of problems with which society is confronted. Outreach primarily involves sharing professional expertise and should directly support the goals and mission of the university. A vital component of the university's mission, public service must be performed at the same high levels of quality that characterize the teaching and research programs.

The academic unit to which the candidate belongs should evaluate the candidate's service using the following criteria, to each of which the unit may assign varying degrees of weight:

A description of the candidate's position that permits evaluation of performance in relation to assigned and budgeted duties. This should include a statement of the mission or purpose of the position and the objective(s) of the nominee's service unit, as well as the specific assigned tasks and responsibilities of the nominee.

An evaluation of the effectiveness with which the service is performed, as judged by its relation to the general welfare of the university; its effect on the development of students and other faculty members; and/or its impact on other individuals, groups, or organizations served. Documentation of the effectiveness of service should include evidence of the success of the service in improving communities, programs, operating agencies, production processes, or management practices. It should also include indications of client satisfaction with the service provided by the nominee, and of the magnitude and complexity of his/her work (as opposed to perfunctory activity that does not lead to useful results).

An appraisal of the candidate's local, regional and national stature. Although the achievement of national stature is sometimes difficult for public service faculty whose activities are primarily directed to groups within the state, the public service professional should take advantage of every opportunity to project his/her accomplishments among peers on a local, regional, and national basis. Service/outreach work is sometimes not publishable. The results may be in the form of direct consultations, planning reports, or instructional time directed largely to the recipients of university service programs. But certain aspects of service work are suitable for publication in professional journals. For example, unique techniques developed to motivate clients or new approaches to the transfer and application of knowledge would be of interest to peers in other public service programs across the nation.

Assistant Professor

Those faculty members promoted to or hired at the rank of Assistant Professor should meet the following criteria:

Earned doctorate or terminal degree from a regionally accredited institution or comparably recognized non-U.S. institution in the instructional discipline or related area.

Evidence from academic records, recommendations, interviews, or other sources that the individual is adequately trained in the discipline and is otherwise competent to carry out the duties and responsibilities of a member of a university faculty.

Evidence of good character, mature attitude, and professional integrity.

Evidence of effective teaching if the individual has taught at the college level. If the individual has not taught at the college level, evidence should be obtained that satisfactory teaching performance can reasonably be expected.

Promise of productive creative and scholarly research and professional service.

Associate Professor

Those faculty members promoted to or hired at the rank of Associate Professor should provide documented evidence of (a) high quality professional productivity which may lead to national recognition in the academic discipline or (b) high quality professional productivity that is consonant with the goals of the university and of the academic unit to which the faculty member belongs. Specifically, faculty promoted to or hired at the rank of Associate Professor should meet the following criteria:

Earned doctorate or terminal degree from a regionally accredited institution or comparably recognized non-U.S. institution in the instructional discipline or related area.

A faculty member may apply for promotion to associate professor after having completed five full years in the rank of assistant professor.

Exceptions to the years-in-rank requirement may be made by the president under special circumstances. Only one year of a leave of absence for scholarly recognition, such as significant scholarship awards, will be credited toward satisfying the experience requirement for promotion. (Note: The years-in-rank requirement is a local ETSU requirement; exceptions to this requirement do not require TBR approval).

Documented evidence of teaching effectiveness.

Documented evidence of professional service activities of a significant nature.

Documented evidence, as accepted within the discipline, of scholarly productivity in research or creative endeavors.

Evidence of good character, mature attitude, and professional integrity.

Professor

The highest rank to which one may be promoted is that of Professor. Documented evidence of teaching excellence and superior contribution to student development, superior scholarly or creative activity, and superior professional service will contribute to the positive record of the candidate for advancement to the rank of professor. Since there is no higher rank, promotion to professor is taken with great care and requires a level of achievement beyond that required for associate professor. This rank is not a reward for long service; rather it is recognition of superior achievement within the discipline with every expectation of continuing contribution to the university and the larger academic community.

Those faculty members promoted to or hired at the rank of professor should provide documented evidence of (a) sustained high quality professional productivity and national recognition in the academic discipline or (b) sustained high quality professional productivity in the academic discipline that is consonant with the goals of the university and of the academic unit to which the faculty member belongs. Specifically, faculty members promoted to or hired at the rank of professor should meet the following criteria:

Earned doctorate or terminal degree from a regionally accredited institution or comparably recognized non-U.S. institution in the instructional discipline or related area.

A faculty member may apply for promotion to professor after having completed five full years in the rank of associate professor, provided that exceptions to the years-in-rank requirement may be made by the president under special circumstances. Only one year of a leave of absence for scholarly recognition, such as significant scholarship awards, will be credited toward satisfying the experience requirement for promotion. (Note: The years-in-rank requirement is a local ETSU requirement; exceptions to this requirement do not require TBR approval.)

Documented evidence of teaching effectiveness.

Successful research, scholarly, and/or creative activity, as evidenced by such accomplishments as published scholarly books, articles in professional journals in one's discipline, presentation of papers before regional, national or international professional groups, receipt of major research grants, and/or a record of significant exhibitions or performances.

Professional service of an outstanding nature, usually of such kind as to make the individual regionally or nationally known in the discipline, or, alternatively, as a leading figure in service efforts promoted by the institution.

Evidence of good character, mature attitude, and professional integrity, and a high degree of academic maturity and responsibility.

Exceptions to Minimum Rank Qualifications

The minimum rank qualifications should be met in every recommendation regarding appointment to academic rank and for promotion in academic rank. Exceptions to local ETSU requirements (e.g., years-in-rank) require the approval of the president of the university. Exceptions to TBR minimum rank qualifications can be recommended to the Chancellor by the president; however, such exceptions are not favored and should be granted only upon a showing of a candidate's exceptional merit and/or other extraordinary circumstances, such as an objective need to deviate from these minimum qualifications in filling positions and/or retaining otherwise qualified faculty within certain academic disciplines.

Petitions for exceptions to promotional criteria may include consideration of the appropriateness of the degree or extraordinary qualities that the candidate may possess. The equivalent work experience credit may include relevant teaching experience or other experiences such as experience gained as an administrator, counselor, librarian, journeyman, or the like. When evaluating college-level instruction, research/scholarship/ creative activities, and service, the university may make its own determination whether or not the number of years of experience from another university is to be accepted in total or discounted in some manner.

Initiation and Processing of Promotion Recommendations

The formulation of recommendations concerning the promotion of a faculty member is a cumulative process occurring at three levels: departmental/ divisional, collegial, and executive or presidential. The faculty member eligible for consideration also has a significant role by assuming responsibility for timely submission of pertinent materials to the department chair for review at each level.

The director of personnel, by May 1st of each year, shall provide department chairs, deans, the appropriate vice president, and the president with lists of faculty members eligible for promotion through length of service. The action by the director of personnel does not relieve the department chairs of the responsibility of determining eligibility for promotion.
Department chairs, during the succeeding 15 days, will verify the lists through departmental and other administrative offices.

By May 15 each faculty member eligible for promotion shall be so notified in writing by the department chair. A department chair may initiate a promotion recommendation at any time; but unless there is special need for earlier processing, subsequent steps will be taken according to the established schedule.

Applications will be completed by each faculty member applying for promotion. These applications must be submitted to the department chair no later than September 15. All promotion applications must be complete at that time. No additional documentation may be added after September 15 except at the request of the reviewers and with the permission of the candidate, or vice versa.

Promotion applications will be reviewed at each level of the process. It is expected that no level of review is bound by prior judgment(s). At each level in the process, the cumulative recommendations and statements of rationale recorded by committees and administrators will be forwarded as integral parts of each candidate's application. Each reviewing official or committee has the responsibility to remand an application to any preceding level if that level's review is found to be incomplete or otherwise unacceptable. Consistent with Board of Regents policy, all peer committees have qualified privilege of academic confidentiality against disclosure of individual promotion votes unless there is evidence that casts doubt upon the integrity of the peer committee.

In some cases, such as small departments or unique fields of study, outside expertise may also be necessary in the evaluation process. The chair and the candidate must agree on the individual(s) selected from departments or institutions other than the candidate's own. All senior faculty in the candidate's department (those holding academic rank equal to or higher than that sought by the candidate), not including the department chair, and such outside experts as are needed will meet to review the promotion application. The promotion applicant must be given at least one week's notice of such meetings and, consistent with procedures described in the ETSU Faculty Handbook, shall have the opportunity to bring to the participants' notice any material that may be helpful in determining the applicant's fitness for higher rank.

In addition to any other evidence that the candidate might choose to provide, the candidate must furnish student assessments of instruction for at least eight courses taught while holding current rank, wherever possible, or for every course evaluated while holding current rank, if this number is greater. These student assessments should be representative of a variety of classes that the candidate has taught. A University-approved assessment instrument will be used for this purpose. Student assessments must be included with all applications for promotion and will be considered as one important source of information concerning effective teaching, although not the only one.

A separate peer evaluation of teaching effectiveness must also take place. This evaluation must include a review of student evaluations with consideration given to the type of courses involved. In addition, peer reviewers should assess items such as course syllabi, study materials, assignments, information on assessment and grading practices, and expectations relating to the candidate's particular teaching responsibilities. Peer reviewers should also observe the candidate's classroom teaching.

Departments and colleges may establish their own criteria and processes for peer evaluation of teaching and may include these in their official statements of expectations for promotion, subject to the provisions of the ETSU Faculty Handbook.

It is the obligation of candidates for promotion, with assistance from their department chairs, to ensure that their teaching is evaluated by peers as described in the ETSU Faculty Handbook and to present in the promotion application documentation of the findings of peer evaluations.

Proposed changes in the process for student assessments of instruction will be submitted to the ETSU Student Government Association for consideration and reaction. The SGA will review the uses of student assessments of instruction on a regular basis and will bring its questions, concerns and suggestions to the Faculty Senate and to the Academic Council.

Complete and accurate documentation of all research, scholarly and creative activities, including complete bibliographic listings of publications, status of journals (refereed and non-refereed), role in jointly authored articles and papers, and complete descriptions of professional service activities should be included in each application to provide evidence of and support for these activities. Copies of published items and other reported research and creative activities must be available for examination by reviewers.

The departmental review by the committee of senior faculty will be completed using appropriate criteria, as established by the department and consistent with university criteria, in reaching its decision.

After formal discussion, the committee of senior faculty within the department will vote to recommend, or not to recommend, each candidate within the department. A written, composite statement explaining the recommendation shall be signed (by means that may include electronic signatures) by each reviewing faculty member and forwarded to the department chair, with a copy to the candidate. Included in that statement will be an explicit evaluation in each of the areas of teaching; research, creative, and scholarly activity; and professional service. Dissenters may include their views in the committee report.

The department chair, by October 15, will forward to the school or college dean, and to the candidate his/her own decision to recommend or not recommend the candidate for promotion. Included in that recommendation will be a written rationale explaining the recommendation, with an explicit evaluation in each of the areas of teaching; research, creative, and scholarly activities; and professional service.

The chair will inform the dean of the faculty members' vote. Should the chair elect to act contrary to the vote of the senior faculty, the dean or other appropriate administrative official should meet with the senior faculty of the department in question to discuss the matter. The dean or other appropriate official should also meet with the chair of the department.

All recommendations reached at the departmental level will be forwarded to the dean who will forward them to that college or school's promotion and tenure committee for its review.

Prior to or during the fall semester of each year, the dean of each college or school will implement procedures to establish a promotion and tenure committee. This committee shall take its membership from faculty at professorial ranks. The dean should ensure adequate representation from the tenured faculty. All members should have at least 3 years of service at ETSU. Collectively the membership should represent the various disciplines of the college or school with equal numbers appointed by the dean and elected by the faculty. At least two-thirds of the members of the committee should hold the rank of associate professor or professor. When there are not sufficient numbers of faculty within a college holding the rank of associate professor or professor to serve on the committee, the dean will request participation of faculty in other colleges. Department chairs may not serve on such committees. No person who is an applicant for promotion in a given year may be an elected or appointed member of a College/School Promotion/Tenure Committee during that year. A person who may have been elected to serve a two or three-year term, should s/he apply for promotion during that term, shall excuse her/himself from the College/School Committee in that year. In the event a replacement is needed, the College/School will obtain a replacement on the same basis as the individual was appointed. The size of the committee should be from 6 to 14 members who shall serve staggered 2- or 3-year terms. The school or college faculty shall decide whether the committee chair shall be elected from among the members of the committee or appointed by the dean. The committee shall function in the role of advisor to the dean from October 15 until December 15 of each year. More specifically, this committee will perform the functions of review as follows:

  1. Receive and review promotion and tenure recommendations of the chairs and departmental committees for transmittal to the dean. In formulating its recommendations for promotion, the committee should consider the broad perspective of the philosophy and objectives of the school or college and any bona fide weighting of criteria and standards reflecting the expectations of the applicant's academic department and/or college.
  2. Review all applications to assure that criteria for promotion and tenure are being correctly and uniformly applied to all members of the school or college.
  3. Review the completeness of the information presented and question any omission in criteria or variations in procedure. Where discrepancies or misapplication of criteria are noted, the committee will attempt to correct the errors through direct consultation with those involved.
  4. Only members of the college/school committee holding academic rank equal to or higher than that sought by a candidate may vote on that candidate's promotion.
  5. Members of the college/school committee from a candidate's home department shall not participate in the college/school committee's discussion of the candidate or in its votes on that candidate's tenure and/or promotion.

The school/college review committee will, by December 15, forward to the dean its recommendations and a written, composite statement for each faculty member being reviewed. The use of secret or open balloting shall be decided by the college, school, or division committee. These written statements will include an explicit evaluation in each of the areas of teaching; research, scholarly and creative activity; and professional service, and will be signed (by means that may include electronic signatures) by each committee member. Dissenters may include their views in the committee report. A copy of the committee recommendation will be forwarded to the candidate.

The dean's recommendations, together with all written documentation, will be forwarded to the appropriate vice president by February 1. This report must also include an explicit evaluation of each candidate's record in the areas of teaching; research, scholarly, and creative activity; and professional service.

The dean, at the time the candidate's application is forwarded to the vice president, will also notify the candidate and the department chair of his/her decision to recommend or not to recommend. The decision will be supported in writing. A copy of this written support will be provided to the candidate and the department chair. In the event of a negative recommendation, the candidate may initiate an appeal to the university Promotion and Tenure Appeals Committee.

The vice president will hold a meeting with the dean concerned prior to a final recommendation. The vice president will notify the candidate, dean, and department chair of his/her decision to recommend or not to recommend. The decision will be supported in writing. In the event of a negative recommendation, the candidate may initiate an appeal to the university Promotion and Tenure Appeals Committee.

Upon reaching a decision regarding each application for promotion, the vice president will forward the application, together with all recommendations relevant to it, to the president by March 1.

All promotion applications initiated will be forwarded to the president regardless of the recommendation made by any intervening administrator or faculty committee, unless the candidate chooses to withdraw his/her application. Only the candidate has the right to withdraw an application that has been filed.

Final action, prior to consideration by the Board of Regents, on each promotion recommendation will be taken by the president. When a recommendation is approved by the president and subsequently by the chancellor and the Board of Regents, the president will notify the faculty member, by letter through the appropriate vice president's office, of the award of promotion. When a recommendation is disapproved by the president, s/he will, through the appropriate vice president's office, inform the department chair of the faculty member involved, in writing, stating reasons for disapproval, and the chair will so advise the faculty member within five days of said notification. Any appeal to the Board of Regents must be made in accordance with Board policies. Appropriate administrative officers will be advised by the president of the action taken on all promotion recommendations; whether approved or disapproved.

A list of faculty members who are recommended for promotion will be forwarded to the chancellor and to the Board of Regents.

Upon final action taken by the Board of Regents, the president will notify the candidate and recommendation forms will be filed in the Personnel Office.

Appeal Procedure

An appellate procedure stands as a basic and important part of the overall promotion granting process. The responsibility of evoking the appeal procedure must be assumed by the candidate.

Two appeal opportunities follow the dean's action and precede that of the president. The candidate may opt to utilize either one, but not both, of these opportunities. Should the dean opt not to recommend in favor of promotion, the candidate may request a pre-appeal conference with the vice president. Should the vice president choose not to recommend for promotion and the candidate has not appealed following the dean's decision, the candidate may request a pre-appeal conference with the president. In either event the pre-appeal conference must be requested within seven days of receiving written notice of the negative recommendation.

The University Promotion and Tenure Appeals Committee (PTAC) will be composed of one faculty senator elected by the Senate who will chair the committee, and one member from each college or school who was not a member of that body's promotion and tenure committee when the candidate's application was evaluated, as selected by the faculty senators from that college or school. The college/school senators will also designate two alternates from their college/school who would be available to serve if the primary designee is ineligible or unavailable to serve. If the college/school senators fail to designate a committee member and alternates, or if those designated are ineligible or unavailable to serve, then the Faculty Senate President and the PTAC Chair will jointly select a faculty member from that college/school to serve. Terms of appointment shall be for two-year staggered terms with the exception of the committee chair who will serve only a one year term. All members of the PTAC will be tenured and will hold professorial rank. Deans, department chairs, and other administrative personnel directly involved in college or school-level promotion decisions (such as associate or assistant deans) are excluded from membership on this committee. No member of the PTAC shall have participated in the review of the candidate's application at any previous level.

After the pre-appeals conference, if the candidate has decided to proceed with the appeal, s/he must file an appeal in writing with the university Promotion and Tenure Appeals Committee within one week or forfeit the right to appeal at that level. When the appeal goes forward, the vice president will submit the candidate's complete promotion application to the chair of the university Promotion and Tenure Appeals Committee. The committee shall review information relevant to each appeal in accordance with procedures developed by the committee for all such appeals and incorporate its recommendations as a part of each candidate's application to be returned to the vice president or the president for consideration. The committee will also send a copy of its recommendation(s) to the candidate, the department chair, the dean and the appropriate vice president. In the event the university Promotion and Tenure Appeals Committee makes a recommendation regarding tenure and/or promotion, the president or vice president will inform the chair of the committee in writing of the final decision and its rationale.

The final appeal opportunity is after the president's decision is made known. The appeal is directed to the Board of Regents in accordance with TBR policy 1:02:11:00 http://www.tbr.edu/policies/default.aspx?id=4834.

01/29/88; 07/91; 05/92; 12/888; TBR 4/2/04; 02/12/09; 10/13/11

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Financial Exigency Policy

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:

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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:

    1. 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.
    2. 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.
    3. 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.
    4. 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.
    5. Affirmative action plans should be carefully considered in all personnel decisions.
    6. 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:
        1. Tenure status (non-tenured before tenured);
        2. Rank (junior faculty before senior faculty);
        3. Seniority within rank (total years in current rank at ETSU and elsewhere)
        4. Local seniority within rank (total years in current rank at ETSU);
        5. 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.

    1. Non-Academic Considerations:
      1. Length of service (total years at ETSU)
      2. Seniority within position/classification
      3. 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:

  1. a statement of the basis on which the individual was selected for termination;
  2. an indication of the data or reasons supporting the choice if it is not a clearly defined factor such as rank or tenure status;
  3. a statement of the date on which the termination is to become effective;
  4. 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.

  1. 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.
  2. 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.

  1. Established institutional procedures or provisions of Board Policy 5:02:06:00 were not followed.
  2. 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

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Hiring Procedures for Faculty

The Board empowers the president of the University to appoint individuals to faculty positions. Faculty members - instructors and those holding professorial ranks - are appointed for one-year periods of service. Full-time employees in one of these ranks may be granted continuing employment under the provisions of the tenure policies outlined subsequently and may be terminated only in accordance with these provisions.

The terms of every new appointment shall be stated in writing and be in the possession of both the prospective faculty member and the administration before the appointment is confirmed. Each time a faculty member is reappointed the terms of the reappointment including salary, contract year, department of assignment, and rank shall be stated in writing and be in his/her possession before the expiration of his/her previous assignment, to the extent possible. Since no agreement may become final until the Board of Regents has approved annual budgets, and since such approval may sometimes not be given until after termination of the academic year, it may not be possible to guarantee any upcoming year's salary before the expiration of a previous appointment. In such instances, a faculty member will be furnished in writing the terms of his/her reappointment that will become effective with the approval of the University's budget.

At the time of his/her employment, a new faculty member shall be informed of the current University, college, and department standards by which he/she can expect to be judged for eligibility for tenure. All faculty have access to the complete and updated ETSU Faculty Handbook, which is available online at: http://www.etsu.edu/senate/facultyhandbook/default.aspx.

Chairs and deans shall keep a faculty member informed of their expectations for her/his performance, including requirements for promotions and tenure. Any dramatic alterations in these expectations should be made explicit.

05/04/87; 07/91; 03/06/08

Faculty hiring procedures are located in the ETSU Personnel Policies and Procedures Manual, PPP-35:
http://www.etsu.edu/humanres/relations/PPP-35.aspx

09/15/79; Effective 03/06, policy changes will appear on the webpage cited

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Personnel Policies: Records, Leaves, Benefits, and Retirement

Personnel Records

Pursuant to Tennessee Board of Regents Policy 5:01:00:10, all personnel records are filed in the Office of Human Resources. State Board of Regents and East Tennessee State University policies referred to above are available for review in the Office of Human Resources.
Refer to PPP-03:

http://www.etsu.edu/humanres/relations/PPP03.aspx
and
TBR Policy 5:01:00:10:
http://www.tbr.edu/policies/default.aspx?id=1410

REFERENCE TBR meetings: June 25, 1976; March 4, 1977; June 26, 1981; September 18, 1981; September 30, 1983; September 16, 1988; Effective 03/06, policy changes will appear on the webpage cited

Personnel records are public records subject to inspection and copying

Refer to Financial Procedures Manual, FP-12:

http://www.etsu.edu/fa/fs/finpro/FP-12.aspx

TBR 5:01:00:10; 9/88; Effective 03/06, policy changes will appear on the webpage cited

Leaves

Adoptive Parents Leave

The previous policy on Adoptive Parents Leave has been replaced with the policy on Parental Leave. Refer to ETSU Personnel Policies and Procedures Manual, PPP-22:

http://www.etsu.edu/humanres/relations/PPP22.aspx

Effective 03/06, policy changes will appear on the webpage cited

Annual Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-17:

http://www.etsu.edu/humanres/relations/PPP17.aspx

Effective 03/06, policy changes will appear on the webpage cited

Bereavement Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-18:

http://www.etsu.edu/humanres/relations/PPP18.aspx

Effective 03/06, policy changes will appear on the webpage cited

Civil Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-19:

http://www.etsu.edu/humanres/relations/PPP19.aspx

Effective 03/06, policy changes will appear on the webpage cited

Disaster Relief Service Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-56:

http://www.etsu.edu/humanres/relations/PPP56.aspx

Effective 03/06, policy changes will appear on the webpage cited

Educational Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-52:

http://www.etsu.edu/humanres/relations/PPP52.aspx

Effective 03/06, policy changes will appear on the webpage cited

Family and Medical Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-46:

http://www.etsu.edu/humanres/relations/PPP46.aspx

Effective 03/06, policy changes will appear on the webpage cited

Holidays

Refer to ETSU Personnel Policies and Procedures Manual, PPP-14:

http://www.etsu.edu/humanres/relations/PPP14.aspx

Source: TBR Meetings, October 12, 1972; September 30, 1983; December 14, 1984; December 13, 1985; September 18, 1992; Effective 10/13/11, policy changes will appear on the webpage cited

Leave of Absence

Refer to ETSU Personnel Policies and Procedures Manual, PPP-21:

http://www.etsu.edu/humanres/relations/PPP21.aspx

Effective 03/06, policy changes will appear on the webpage cited

Leave Transfer Between the State University and Community College System and State Agencies

Refer to ETSU Personnel Policies and Procedures Manual, PPP-25:

http://www.etsu.edu/humanres/relations/PPP25.aspx

Effective 03/06, policy changes will appear on the webpage cited

Military Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-23:

http://www.etsu.edu/humanres/relations/PPP23.aspx

Effective 03/06, policy changes will appear on the webpage cited

Parental Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-38:

http://www.etsu.edu/humanres/relations/PPP38.aspx

Effective 03/06, policy changes will appear on the webpage cited

Sick Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-24:

http://www.etsu.edu/humanres/relations/PPP24.aspx

Effective 03/06, policy changes will appear on the webpage cited

Voting Leave

Refer to ETSU Personnel Policies and Procedures Manual, PPP-49:

http://www.etsu.edu/humanres/relations/PPP-49.aspx

Effective 03/06, policy changes will appear on the webpage cited

Retirement

Refer to Personnel Policies and Procedures Manual, PPP-09

http://www.etsu.edu/humanres/relations/PPP09.aspx

Effective 10/13/11, policy changes will appear on the webpage cited

Benefits

Information on retirement benefits, health insurance, and other benefits is available online at the Office of Human Resources web site:

http://www.etsu.edu/humanres/retire/default.aspx

Effective 03/06, policy changes w The Tennessee Board of Regents has established a procedure to ensure that survivors of deceased employees are promptly informed regarding payment of earned wages and any other benefits to which they may be entitled. The procedure can be found at:

http://www.tbr.edu/policies/default.aspx?id=1930

Effective 10/13/11, policy changes will appear on the webpage cited

Information on retirement benefits, health insurance, and other benefits is available online at the Office of Human Resources web site:

http://www.etsu.edu/humanres/retire/default.aspx 

Effective 10/31/11, policy changes will appear on the webpage cited

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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.

  1. 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 five of their own tenured members from the department.  If there are less than five tenured faculty in the department, the departmental faculty will choose the remaining members from full-time members of the department.  If there are less than five full-time faculty of any designation within the department, then the additional requisite committee members will be chosen by the departmental faculty from full-time faculty from outside the department.  The department has the option of selecting one undergraduate or graduate student majoring in the department as one of the five designees.  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 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 following the previously cited criteria.  Individuals who wish to be considered for the vacancy will not serve on the committee.

  2. The dean will meet with the search committee and full-time departmental faculty to discuss mutual expectations and needs regarding the department chair.  The search committee and full-time departmental faculty will be involved in developing the job description and advertisement for the chair's position.  The search committee will seek input from all the faculty in the department 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 further consideration.  Interviews, if held, will include, at a minimum, meetings with the dean, the search committee, and full-time departmental faculty.  If the dean agrees, the committee may submit the name of only one candidate.  Candidates may or may not be ETSU faculty.

    After the interview process and other due diligence, 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 interim chair to serve during the interim.

  3. 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; 08/01/13

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Standards of Conduct for Faculty

Academic Freedom and Responsibility

East Tennessee State University endorses the 1940 Statement of Principles on Academic Freedom and Tenure of the American Association of University Professors as revised and refined since 1940, and also the Statement on Professional Ethics of the same organization, insofar as these are not limited by State law or the policies of the Tennessee Board of Regents. The University recognizes the principle of academic freedom, pursuant to which: The faculty member is entitled to freedom in the classroom in discussing his or her subject, being careful not to introduce into the teaching unrelated subject matter.

The faculty member is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of his/her other academic duties and subject to conditions of a sponsored grant or contract, if any, supporting the research and the University's Financial Conflict of Interest Policy. Research for financial gain must be based upon an understanding with the authorities of the university, which is documented, reduced to writing and signed by the faculty member and the appropriate academic officer(s).

The faculty member is a citizen, a member of a learned profession, and an officer of an educational university/college. When the faculty member speaks or writes as a citizen, he/she should be free from university/college censorship or discipline, but his/her special position in the community imposes special obligations. As a man or woman of learning and an educational officer, he/she should remember that the public may judge the profession and the university/college by the faculty member's utterances. Hence, a faculty member should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that he/she does not speak for the university/college. Academic freedom is essential to fulfill the ultimate objectives of an educational university/college-the free search for and exposition of truth-and applies to both teaching and research. Freedom in research is fundamental to the advancement of truth, and academic freedom in teaching is fundamental for the protection of the rights of the faculty member in teaching and of the student to freedom in learning. Implicit in the principle of academic freedom are the corollary responsibilities of the faculty who enjoy that freedom. Incompetence, indolence, intellectual dishonesty, failure to carry out assigned duties, serious moral dereliction, arbitrary and capricious disregard of standards of profession conduct-these and other grounds as set forth in TBR and university policy may constitute adequate cause for dismissal or other disciplinary sanctions against faculty members subject to the provisions of Article III. The right to academic freedom imposes upon the faculty an equal obligation to take appropriate professional action against faculty members who are derelict in discharging their professional responsibilities. The faculty member has an obligation to participate in tenure and promotion review of colleagues as specified in university policy. Thus, academic freedom and academic responsibility are interdependent, and academic tenure is adopted as a means to protect the former while promoting the latter. While academic tenure is essential for the protection of academic freedom, all faculty members, tenured or non-tenured, have an equal right to academic freedom and bear the same academic responsibilities implicit in that freedom.

Source: TBR April 2, 2004; approved by Academic Council February 17, 2005

05/04/87; 07/91; 03/06/08

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Romantic Relationships between Faculty and Students

A Statement by the Faculty Senate and the Academic Council

Because those who teach are entrusted with guiding students, judging their work, assigning grades for papers and courses, and recommending students to colleagues, instructors are in a delicate relationship of trust and power. This relationship must not be jeopardized by possible doubt of intent, fairness of professional judgment, or the appearance to other students of favoritism.

One of the unstated tenets of the teaching profession indicating the commitment of its membership to a climate free from sexual harassment is the view that it is unwise and inappropriate for faculty who have or have had romantic relations with students to:

  1. teach such students in a class,
  2. supervise them in research or graduate work, or
  3. recommend them for fellowships, awards, or employment.

Prudence and the best interest of the students dictate that in such circumstances of romantic involvement, the student(s) should be aided to find other instructional or supervisory arrangements.

Faculty should keep in mind that initial consent to a romantic relationship does not preclude a charge of sexual harassment in the future.

05/04/87; 07/91; 03/06/08

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TENURE

The quality of the faculty of any university is maintained primarily through support of a wide variety of professional development. It is monitored through the appraisal, by competent faculty and administrative officers, of each candidate for tenure. Tenure at a Tennessee Board of Regents university provides certain full-time faculty with the assurance of continued employment during the appointment year as defined in the employee's contract until retirement or dismissal for adequate cause, financial exigency, or curricular reasons, as further discussed herein.

Definitions

The following are general definitions of words and terms used in this policy that are not hereinafter specifically defined. However, the words and terms are subject to further qualification and definition in the subsequent sections of this policy.

Academic Tenure

Tenure is a personnel status in an academic department or other academic program unit pursuant to which the academic or fiscal year appointments of full-time faculty who have been awarded tenure are continued at a university until the expiration or relinquishment of that status, subject to termination for adequate cause, for financial exigency, or for curricular reasons.

The awarding of tenure is recognition of the merit of a faculty member and of the assumption that he/she would meet the long-term staffing needs of the department or other academic program unit and the university. Tenure is awarded only to those members of the faculty who have exhibited professional excellence and outstanding abilities sufficient to demonstrate that their future services and performances justify the degree of permanence afforded by academic tenure. The Tennessee Board of Regents does not award tenure in non-faculty positions. Tenure appointments reside in the departments and other academic program units, and are assurances of continued employment during the appointment year subject to expiration, relinquishment, or terminations of tenure as set out in the ETSU Faculty Handbook. Recommendations for or against tenure should originate from the department or academic program unit in which the faculty member is assigned and should include appropriate participation in the recommendation by tenured faculty in the department or academic program unit as specified in TBR Policy 5:02:03:60  [ http://www.tbr.edu/policies/default.aspx?id=1484 ].

Tenure is awarded only by positive action of the Board, pursuant to the requirements and procedures of this policy, at a specific university. No faculty member shall acquire or be entitled to any interest in a tenure appointment at a university without a recommendation for tenure by the president of the university and an affirmative award of tenure by the Board of Regents. No other person shall have any authority to make any representation concerning tenure to any faculty member, and failure to give timely notice of non-renewal of a contract shall not result in the acquisition of a tenure appointment, but shall result in the right of the faculty member to another year of service at the university, provided that no tenure appeals remain outstanding due to lack of cooperation and/or appropriate action on the part of the candidate in completing the appeal process.

Faculty Member

A faculty member is a full-time employee who holds academic rank as instructor, assistant professor, assistant clinical or research professor, associate professor, associate clinical or research professor, professor, or clinical or research professor.

Probationary Employment

Probationary employment is a period of full-time professional service by a faculty member for whom an appointment letter denotes a tenure-track appointment in which he/she does not have tenure and in which he/she is evaluated by the university for the purpose of determining his/her satisfaction of the criteria for a recommendation for tenure.

Adequate Cause

Adequate cause is a basis upon which a faculty member, either with academic tenure or a tenure-track or temporary appointment prior to the end of the specified term of the appointment may be dismissed or terminated. The specific grounds which constitute adequate cause are set forth in the ETSU Faculty Handbook.

Financial Exigency

Financial exigency is the formal declaration by the Tennessee Board of Regents that one of its universities 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.

Vice President

The term vice president shall be construed to mean either the Vice President for Academic Affairs or the Vice President for Health Affairs, depending on the action(s) or individual(s) involved.

Minimum Eligibility Requirements for Consideration for Academic Tenure

Academic tenure may be awarded only to full-time faculty members who: (a) hold academic rank as instructor, assistant professor, associate professor, or professor and meet the minimum rank criteria for that rank as specified in university policy and TBR Policy 5:02:03:60 http://www.tbr.edu/policies/default.aspx?id=1484 ; (b) have been employed pursuant to tenure-track appointments and have completed the probationary period of service as stated in the ETSU Faculty Handbook or as agreed upon in writing and signed by the appropriate academic officer; and (c) have been determined by the university to meet the criteria for recommendation for tenure and have been so recommended pursuant to this policy.

Faculty holding temporary appointments are not eligible for tenure.

Faculty holding clinical or research appointments are not eligible for tenure, provided, however, that under certain circumstances, such appointments may be converted to tenure track appointments as discussed in TBR policy 5:02:07:10 http://www.tbr.edu/policies/default.aspx?id=1496 on faculty appointments.

Faculty members supported in whole or in part by funds available to the university on a short-term basis, such as grants, contracts, or foundation sponsored projects, shall not be eligible for tenure unless continuing support for such members can be clearly identified in the regular budget of the university upon the recommendation of tenure to the Board.

No faculty member shall be eligible for tenure unless the employee's contract specifies his/her tenure-track status; provided that where a faculty member with tenure is appointed to an administrative position, he/she will retain tenure in a former faculty position only; and provided further that a faculty member otherwise eligible for tenure who also holds a non-faculty position may be awarded tenure in the faculty position only, subject to the requirements of this policy.

Length of Probationary Period and Timing of Application for Tenure

Probationary faculty may be employed on annual tenure-track appointments for a probationary period which may not exceed six (6) years, this being the normal length of time required to develop a substantial record in teaching, research and service.

Faculty may apply for tenure following completion of five years of the probationary period (so that the recommendation for tenure, if granted, would occur upon completion of six years).

Exceptions to the minimum probationary period may be made under special circumstances upon recommendation by the president and approval by the Chancellor. Upon approval of such an exception by the Chancellor, the faculty member's recommendation for tenure will go forward to the Board as meeting the requirements for the probationary period.

When a faculty member on a tenure-track appointment completes the probationary period and is not recommended for tenure by the president, he or she will be given notice of non-renewal of the appointment and will receive a terminal contract for the seventh year of employment.

If a faculty member wishes to apply for tenure earlier than the completion of the minimum probationary period, he or she must so notify the department chair, in writing, no later than May 15 prior to the fall term in which the application will be made. The faculty member should include in this statement of intent a brief summary of the special circumstances that the faculty member thinks warrant awarding tenure earlier than the completion of the minimum probationary period.

A faculty member may apply for tenure earlier than the completion of the minimum probationary period only once. An application occurs when the faculty member uploads the Supporting Document to ETSU’s online tenure and promotion system. The candidate may withdraw the tenure materials from further consideration at any point in the tenure review process, but even if it is withdrawn, this constitutes an application.

If a faculty member applies for tenure earlier than the completion of the minimum probationary period and is not awarded tenure, this does not preclude the faculty member's right to apply for tenure upon completion of the minimum probationary period. If tenure is not awarded in an early application, this does not extend the probationary period beyond six years.

Calculating the Probationary Period

Employment during summer terms, in part-time positions, or during periods of leaves of absence (except in the circumstance described in this section), shall not be credited toward satisfying the probationary period.

Only full-time continuous service at a university will be included in determining completion of the probationary period, except where a break in service was pursuant to an approved leave of absence. A period of approved leave of absence shall be excluded from the requisite period for completion of the probationary period unless the president of the university specified in writing prior to the leave of absence that it shall be included in the probationary period. Leaves of absence may not be granted retroactively. A faculty member may apply for a maximum of two (2) leaves of absence in one-year increments so long as the total probationary period (not including the leaves of absence) does not exceed six years. Requests for a second extension follow the same procedure and are subject to the same considerations as the original extension. See ETSU’s Personnel Policy Manual PPP-21 [ http://www.etsu.edu/humanres/relations/PPP21.aspx ] for more information.

A faculty member who is appointed to an administrative position prior to a tenure award remains eligible for tenure under two conditions: 1) the faculty member must qualify for tenure under departmental or other academic program unit, college and university guidelines; and 2) the faculty member must maintain a significant involvement in academic pursuits including teaching, scholarship and service. The time (or prorated portion of time) spent in the administrative position may be credited toward completion of the probationary period. The department or division in which the faculty member would otherwise be employed must still initiate the tenure action.

Where a faculty member is serving a probationary period in a department or other academic program unit and is subsequently transferred to another department or academic program unit, the faculty member may-with the written approval of the president-elect to begin a new probationary period on the date that the transfer occurs. If he/she does not so elect (and confirm in writing to the president), time spent in the first appointment shall count toward establishing the minimum and maximum probationary period.

Credit for Prior Service

The minimum probationary period may include credit for prior service when agreed to by the president and subject to the maximum permissible credit for prior service.

Prior Service at Other Universities

Credit toward completion of the probationary period may at the discretion of the president be given for a maximum of three of years of previous full-time service at other colleges, universities, or institutes provided that the prior service is relevant to the institution's own needs and criteria. Any credit for prior service that is recognized and agreed to must be confirmed in writing at the time of the initial appointment.

Prior Service at ETSU

Credit toward completion of the probation period may, at the discretion of the president, be given for a maximum of three years or previous full-time service in a temporary faculty appointment or term appointment at the same institution or in an earlier tenure-track appointment at the same institution that has been followed by a break in service. Any credit for prior service in a temporary full-time faculty appointment at the same institution or in an earlier tenure-track appointment at the same institution that has been followed by a break in service must be recognized and confirmed in writing in the appointment letter to a tenure-track position.

Requests to Decrease Credit for Prior Service

If a faculty member who received credit for prior service upon his or her appointment to a tenure-track position at the university wishes to decrease credit given for prior service and increase the number of appointment years at ETSU required for the probationary period, he or she must submit this request in writing to the chair of the academic department no later than May 15 of the final year of the minimum probationary period (calculated including the credit for prior service). Such requests can only occur upon the approval of the president of the university. Any approved reduction in credit for prior service must be in writing.

Stopping the Tenure Clock

A faculty member in a tenure track appointment may request to "stop the clock" during his/her probationary period when circumstances exist that interrupt the faculty member's normal progress toward building a case for tenure. Discretion for stopping the tenure clock rests on the institution and also requires supervisory approval. In such cases, the faculty member may request to "stop the tenure clock" for one-year if he/she demonstrates that circumstances reasonably warrant such interruption. Reasons for approving a request to "stop the clock" will typically be related to a personal or family situation requiring attention and commitment that consumes the time and energy normally addressed to faculty duties and professional development. Examples may include, but are not limited to, childbirth or adoption, care of dependents, medical conditions or obligations, physical disasters or disruptions, or similar circumstances that require a fundamental alteration of one's professional life. The intent of this policy is to serve the best interests of the university while providing neither preference to nor adverse effect on a faculty member's process of developing a case for tenure. Once approved, the "stop the clock" year is not counted in the probationary period accrual.

A faculty member seeking a modification of his/her probationary period must submit his/her request, in writing, addressing the considerations described above. The request is to be submitted in writing to the department chair for consideration and recommendation. The request must be submitted no later than three (3) months after the conclusion of the period in which the clock is to be stopped. The chair's recommendation is forwarded to the dean of the faculty member's college for consideration and recommendation; thence to the provost for consideration and recommendation; and finally to the president for approval or denial. The president will notify the faculty member, in writing, of the decision to approve or deny such exceptions within one month of submission. Requests for modification of the probationary period that are based on a faculty member's health or care for an immediate family member should also be submitted to the university's legal counsel or to TBR's Office of the General Counsel for review.

Pre-Tenure Mentoring of Faculty

Each department and college should establish procedures that enhance communication with probationary faculty members concerning factors that may impact their candidacy (e.g., bona fide weighting of criteria, appropriate standards, approved staffing plans, curricular changes, accreditation issues, enrollment patterns, etc.). These procedures may include pre-tenure reviews conducted by academic departments or other academic units during the third year of the probationary period. It is the explicit responsibility of chairs and deans to establish formal protocols or by other means to keep tenure-track faculty apprised of their progress toward tenure by thorough evaluations and appropriate mentoring.

Non-Renewal of Tenure-Track Faculty

General Timeline

When tenure-track appointments of faculty are not to be renewed for further service, the faculty member shall receive notice of this as follows:

  1. Not later than April 1 of the full first appointment year, if the appointment expires at the end of that year; or, if the appointment terminate during an appointment year, at least three months in advance of its termination;
  2. Not later than January 1 of the second full appointment year, if the appointment expires at the end of that year; or, if the appointment terminates during an appointment year, at least six months in advance of its termination;
  3. Not later than the close of the appointment year preceding the third or subsequent full year of service, if the appointment expires at the end of that year; or, if the appointment terminates during an appointment year, at least twelve months in advance of its termination.

Notice of non-renewal shall be effective upon personal delivery of the notice to the faculty member, or upon the date the notice is mailed, postage prepaid, to the faculty member at his/her current home address of record at the university.

Applicable dates for notice of non-renewal are based upon actual years of service at a particular university and in no way affected by any credit for prior service.

When a faculty member on a tenure-track appointment completes his/her probationary period, the faculty member will be recommended for tenure by the president or will be given a terminal contract for the seventh year. Notice of the terminal contract should be given not later than the final day of the appointment year. The faculty member's right in an instance where timely notice is not given is described in ETSU’s Faculty Handbook.

If a faculty member applies for tenure earlier than the completion of the minimum probationary period and is not awarded tenure, this does not preclude the faculty member's right to apply for tenure upon completion of the minimum probationary period. If tenure is not awarded in an early application, this does not extend the probationary period beyond six years.

Faculty members on tenure-track appointments shall not be terminated during the term of the annual appointment as stated in the employment contract except for reasons which would be sufficient for the termination of tenured faculty.

The non-renewal or non-reappointment of any faculty member on a tenure-track appointment does not necessarily carry an implication that his/her work or conduct has been unsatisfactory.

Unless there is a violation of state or federal law under the limitations described in the TBR Policy on Appeals (1:02:11:00 http://www.tbr.edu/policies/default.aspx?id=4834 ), decisions that are not subject to appeal to the Chancellor include (a) non-renewal of a tenure-track faculty appointment during the first five years of the probationary period and (b) denial of tenure unaccompanied by notice of termination in the fifth year of the probationary period.

Initiation and Processing of Tenure Recommendations

The formulation of recommendations concerning the tenure of a faculty member is a cumulative process occurring at three levels-department/division, college, and executive or presidential. The faculty member eligible for consideration also has a significant role by assuming responsibility for timely submission of pertinent materials to the department chair for review at each level.

The director of personnel, by May 1st of each year, shall provide department chairs, deans, the appropriate vice president, and the president with lists of faculty members eligible for tenure through length of service. The action by the director of personnel does not relieve the department chairs of the responsibility of determining eligibility for tenure.
Department chairs, during the succeeding 15 days, will verify the lists through departmental and other administrative office.

By May 15 each faculty member eligible for tenure shall be so notified in writing by the department chair. A department chair may initiate a tenure recommendation at some time other than the annual review; but unless there is special need for earlier processing, subsequent steps will be taken according to the established schedule during the annual review.

Tenure applications will be completed by each faculty member applying for tenure. These applications will be submitted no later than September 15. All tenure applications must be complete at that time. No additional documentation may be added after September 15 except at the request of the reviewers and with the permission of the candidate, or vice versa. Candidates applying for promotion and tenure simultaneously submit one set of supporting materials.

Tenure applications will be reviewed at each level of the process. It is expected that each level of review is independent of prior judgment and documentation. At each level in the process, the cumulative recommendations and statements of rationale recorded by committees and administrators will be forwarded as integral parts of each candidate's application. Each reviewing official or committee has the responsibility to remand an application to any preceding level if that level's review is found to be incomplete or otherwise unacceptable. All peer committees have qualified privilege of academic confidentiality against disclosure of individual tenure votes unless there is evidence that casts doubt upon the integrity of the peer committee.

In some cases, such as small departments or unique fields of study, outside expertise may also be necessary in the evaluation process. The chair and the candidate must agree on the individual(s) selected from departments or institutions other than the candidate's own. All tenured faculty in the candidate's department, not including the department chair, and such outside experts as are needed will meet to review the tenure application. The tenure applicant must be given at least one week's notice of such meetings and, consistent with procedures described in the ETSU Faculty Handbook, shall have the opportunity to bring to the participants' notice any material that may be helpful in determining the applicant's fitness for tenured status.

In addition to any other evidence that the candidate might choose to provide, the candidate must furnish student assessments of instruction for at least eight courses, wherever possible, or for every course evaluated during the probationary period, if this number is greater. These student assessments should be representative of a variety of classes that the candidate has taught. A university-approved assessment instrument will be used for this purpose. Student assessments must be included with all applications for tenure and will be considered as one important source of information concerning effective teaching, although not the only one.

A separate peer evaluation of teaching effectiveness must also take place. This evaluation must include a review of student evaluations with consideration given to the type of courses involved. In addition, peer reviewers should assess items such as course syllabi, study materials, assignments, information on assessment and grading practices, and expectations relating to the candidate's particular teaching responsibilities. Peer reviewers should also observe the candidate's classroom teaching.

Departments and colleges may establish their own criteria and processes for peer evaluation of teaching and may include these in their official statements of expectations for tenure, subject to the provisions of the ETSU Faculty Handbook.

It is the obligation of candidates for tenure, with assistance from their department chairs, to ensure that their teaching is evaluated by peers as described in the ETSU Faculty Handbook and to present in the tenure application documentation of the findings of peer evaluations.
Proposed changes in the process for student evaluation of instruction will be submitted to the ETSU Student Government Association for consideration and reaction. The SGA will review the uses of student evaluation of instruction on a regular basis and will bring its questions, concerns and suggestions to the Faculty Senate and to the Academic Council.

Complete and accurate documentation of all research, scholarly, and creative activities, including complete bibliographic listings of publications, status of journals (refereed and non-refereed), role in jointly authored articles and papers, and complete descriptions of professional service activities should be included in each application to provide evidence of and support for these activities. Copies of published items and other reported research and creative activities must be available for examination by reviewers.

The departmental review will be completed by a committee of tenured faculty, excluding the department chair. The review should reflect serious consideration of general university criteria, the specific criteria and types of evidence specified, any weighted criteria reflecting appropriate standards for the discipline, and any currently documented analysis of long-term staffing needs.

After formal discussion, the committee of tenured faculty within the department will vote to recommend or not to recommend each candidate within the department. A written, composite statement explaining the recommendation shall be signed (by means that may include electronic signatures) by each reviewing faculty member and forwarded to the chair with a copy to the candidate. Included in that statement will be an explicit evaluation in each of the areas of teaching, research and creative/scholarly activity, and service. Dissenters may include their views in the committee report.

The department chair, by October 15, will forward to the school or college dean, and to the candidate his/her own decision to recommend or not recommend the candidate for tenure. Included in that recommendation will be a written rationale explaining the recommendation, with an explicit evaluation in each of the areas of teaching, research and creative/scholarly activity, and service. While the department chair's review is independent of that by the departmental committee, the chair's recommendation should be guided by consideration of the same criteria, standards, and types of evidence.

The chair will inform the dean of the tenured faculty members' vote. Should the chair elect to act contrary to the vote of the senior faculty, the dean or other appropriate administrative official should meet with the senior faculty of the department in question to discuss the matter. The dean or other appropriate official should also meet with the chair of the department.

All recommendations reached at the departmental level will be forwarded to the school or college on forms provided by the appropriate vice president's office.

Prior to or during the fall semester of each year, the dean of each college or school will implement procedures to establish a promotion and tenure committee. This committee shall take its membership from faculty at professorial ranks. The dean should ensure adequate representation from the tenured faculty. All members should have at least 3 years of service at ETSU. Collectively the membership should represent the various disciplines of the college or school with equal numbers appointed by the dean and elected by the faculty. At least two-thirds of the members of the committee should hold the rank of associate professor or professor. When there are not sufficient numbers of faculty within a college holding the rank of associate professor or professor to serve on the committee, the dean will request participation of faculty in other colleges. Department chairs may not serve on such committees. No person who is an applicant for promotion in a given year may be an elected or appointed member of a College/School Promotion/Tenure Committee during that year. A person who may have been elected to serve a two or three-year term, should s/he apply for promotion during that term, shall excuse her/himself from the College/School Committee in that year. In the event a replacement is needed, the College/School will obtain a replacement on the same basis as the individual was appointed. The size of the committee should be from 6 to 14 members who shall serve staggered 2- or 3-year terms. The school or college faculty shall decide whether the committee chair shall be elected from among the members of the committee or appointed by the dean. The committee shall function in the role of advisor to the dean from October 15 until December 15 of each year. More specifically, this committee will perform the functions of review as follows:

  1. Receive and review promotion and tenure recommendations of the chairs and departmental committees for transmittal to the dean. In formulating its recommendations for or against the granting of tenure, the college committee should concentrate on the broad perspective of the college's approved mission, any bona fide weighting of criteria and standards reflecting the expectations of the applicant's academic department and/or college, approved departmental and/or college staffing plans and the department's enrollment trends.
  2. Review all applications to assure that criteria for promotion and tenure are being correctly and uniformly applied to all members of the school or college.
  3. Review the completeness of the information presented and question any omission in criteria or variations in procedure. Where discrepancies or misapplication of criteria are noted, the committee will attempt to correct the errors through direct consultation with those involved.
  4. Members of the college/school committee from a candidate's home department shall not participate in the college/school committee's discussion of the candidate or in its votes on that candidate's tenure and/or promotion.
  5. Only tenured members of the college/school committee may vote on applications for tenure.

The school/college review committee will, by December 15, forward to the dean its recommendations and a written, composite statement for each faculty member being reviewed. The use of secret or open balloting shall be decided by the college, school or division committee. These written statements will include an explicit evaluation in each of the areas of teaching, research and scholarly/creative activity, and service, and will be signed (by means that may include electronic signatures) by each committee member. Dissenters may include their views in the committee report. A copy of the committee recommendation will be forwarded to the candidate and the department chair.

The dean's recommendations, together with all written documentation, will be forwarded to the appropriate vice president by February 1. This report must also include an explicit evaluation of each candidate's record in the areas of teaching, research and scholarly/creative activity, and service. While the dean's review is independent of that by the college committee, the dean's recommendation should be guided by consideration of the same criteria, standards, and types of evidence.

The dean, at the time the candidate's application is forwarded to the vice president, will also notify the candidate and the department chair of his/her decision to recommend or not to recommend. The decision will be supported in writing. A copy of this written support will be provided to the candidate and the department chair. In the event of a negative recommendation, the candidate may initiate an appeal to the university Promotion and Tenure Appeals Committee.

If the vice president, in the face of prior approvals, favors disapproval of an application s/he will hold a meeting with the department chair and dean concerned prior to a final decision. The candidate, chair, and dean will be advised regarding the vice president's subsequent decision, which will be supported in writing. In the event of a negative recommendation and the candidate has not initiated an earlier appeal, the candidate may initiate an appeal to the university Promotion and Tenure Appeals Committee.

Upon reaching a decision regarding each application for tenure, the vice president will notify the dean, chair, and candidate in writing and will forward the application, together with all recommendations relevant to it, to the president by March 1.

All tenure applications initiated will be forwarded to the president regardless of the recommendation made by any intervening administrator or faculty committee; unless the candidate chooses to withdraw his/her application. Only the candidate has the right to withdraw an application that has been filed.

Final action on each tenure application will be taken by the president. When an application is approved by the president and subsequently by the chancellor and the Board of Regents, the president will notify the faculty member by letter of the award of tenure. When an application is disapproved by the president, s/he will inform the department chair, the faculty member, and other appropriate administrators in writing, stating reasons for disapproval. At this time, the candidate may appeal the president's decision. Appropriate administrative officers will be advised by the president of the action taken on all tenure recommendations; whether approved or disapproved.

A list of faculty members who are recommended for tenure status in any one year will be forwarded to the chancellor and to the Board of Regents. No faculty member shall be entitled to, or acquire any interest in, a tenure appointment in the university without a recommendation for tenure by the president and an affirmative award of tenure by the Board of Regents. No other person shall have any authority to make any representation concerning tenure to any faculty member and failure to give timely notice of non-renewal of a contract shall not result in the acquisition of a tenure appointment, but shall result in the right of the faculty member to another year of service at East Tennessee State University.
Upon final action taken by the Board of Regents, recommendation forms will be filed in the Personnel Office.

Appeals Process

Opportunities for appeal of negative recommendations on applications for tenure exist at the dean's or vice president's level and again at the president's level prior to a review of the latter's decision by the Board of Regents.

Two appeal opportunities follow the dean's action and precede that of the president. The candidate may opt to utilize either one, but not both, of these opportunities. Should the dean opt not to recommend in favor of tenure, the candidate may request a pre-appeal conference with the vice president. Should the vice president choose not to recommend for tenure and the candidate has not appealed following the dean's decision, the candidate may request a pre-appeal conference with the president. In either event the pre-appeal conference must be requested within seven days of receiving written notice of the negative recommendation.

After the pre-appeals conference, if the candidate has decided to proceed with the appeal, s/he must file an appeal in writing with the university Promotion and Tenure Appeals Committee within one week or forfeit the right to appeal at that level. When the appeal goes forward, the vice president will submit the candidate's complete application to the chair of the university Promotion and Tenure Appeals Committee. The committee shall review information relevant to each appeal in accordance with procedures developed by the committee for all such appeals and incorporate its recommendations as a part of each candidate's application to be returned to the vice president or the president for consideration.

Within seven days of receiving, in writing, the vice president's recommendation, the candidate may request a pre-appeal conference with the president. If, during the course of that conference, the candidate feels justified in requesting a formal hearing of the appeal, he/she may request that the university Promotion and Tenure Appeals Committee hear that appeal. Within one week of the pre-appeal conference the candidate must file a written request with the committee's chair. Upon request by the committee's chair, the president will submit the candidate's complete tenure application dossier to the committee.

The committee will review information relevant to the appeal according to procedures developed by the committee for all such appeals and will incorporate its recommendations as a part of the candidate's application, which is then returned to the president for his/her consideration. The committee will also send a copy of its recommendation(s) to the candidate, the department chair, the dean and the appropriate vice president.

In the event the university Promotion and Tenure Appeals Committee makes a recommendation regarding tenure and/or promotion, the president or vice president will inform the chair of the committee in writing of the final decision and its rationale.

The University Promotion and Tenure Appeals Committee (PTAC) will be composed of one faculty senator elected by the Senate who will chair the committee, and one member from each college or school who was not a member of that body's promotion and tenure committee when the candidate's application was evaluated, as selected by the faculty senators from that college or school. The college/school senators will also designate two alternates from their college/school who would be available to serve if the primary designee is ineligible or unavailable to serve. If the college/school senators fail to designate a committee member and alternates, or if those designated are ineligible or unavailable to serve, then the Faculty Senate President and the PTAC Chair will jointly select a faculty member from that college/school to serve. Terms of appointment shall be for two-year staggered terms with the exception of the committee chair who will serve only a one year term. All members of the PTAC will be tenured and will hold professorial rank. Deans, department chairs, and other administrative personnel directly involved in college or school-level promotion decisions (such as associate or assistant deans) are excluded from membership on this committee. No member of the PTAC shall have participated in the review of the candidate's application at any previous level.

If the candidate previously appealed a negative recommendation to the university Promotion and Tenure Appeals Committee at either the dean's or vice president's level and wishes to appeal a negative recommendation by the president, an ad hoc Promotion and Tenure Appeals Committee will be formed comprised of three persons appointed by the Faculty Senate and three by the president. These persons must be tenured and hold professorial rank. They will follow the same procedure outlined in the ETSU Faculty Handbook for the university Promotion and Tenure Appeals Committee.

Criteria to be Considered in Tenure Recommendations

The following are general criteria to be employed in considering the recommendation of a faculty member for tenure. This list is not exhaustive and the selection and relative importance of these criteria will vary with the nature and mission of the department or division in which the faculty member is employed. Specific criteria to be applied to the work of an individual faculty member will be clearly delineated on annual faculty activity plans, reports and evaluations.

  1. Teaching effectiveness.
  2. Effectiveness in other academic assignments.
  3. Research, scholarly and creative activity.
  4. Professional degrees, awards, and achievements.
  5. Staffing needs of the department or division and the institution.
  6. Service of a professional nature to the institution, the community and the State.
  7. Activities, membership, and leadership in professional organizations.
  8. Demonstrated potential for continuing professional growth; and for contribution to the objectives of the department or division and the institution.
  9. Demonstrated willingness and ability to work effectively with colleagues to support the mission of the institution and the common goals both of the institution and of the academic organizational unit.

A department or college may weigh criteria to be considered in tenure recommendations and should establish appropriate standards within criteria for the distinctive discipline(s) and the level(s) of program(s) it embodies. If such weighted criteria and standards for tenure are to be applied to candidates, they should be carefully documented in approved unit mission statements and policies. Those documents become bona fide only when (1) they have been considered by faculty in those units, (2) they have gained approval by the university as official college or departmental mission statements and related policies that are consistent with university mission and policy, and (3) they have been communicated in publications or in other written form (including the Web) to faculty affected by them. Bona fide documents are maintained as public information in the offices of appropriate department chairs and deans, the Vice President for Academic Affairs or the Vice President for Health Affairs, and the Faculty Senate.

Criteria for Assessing Merit of the Candidate

Overview

All candidates for tenure should demonstrate teaching effectiveness and be fully engaged in other academic assignments commensurate with their respective faculty roles. In addition, they should demonstrate achievements in service and in research, scholarly and creative activity that are consistent with approved departmental and college/school criteria. The relative importance given to these criteria may differ according to the discipline, department, and assigned duties of individual candidates, as delineated in annual faculty activity plans, reports and evaluations.

Teaching

Effective teaching is an essential qualification for tenure, and tenure should not be granted in the absence of clear evidence of a candidate's teaching ability and potential for continued development. Excellence in teaching is a strong recommendation for both tenure and promotion, though it cannot be considered in isolation from scholarship and service. Each department must develop a procedure to ensure that factual information relative to a candidate's teaching is available at the time he/she is considered for tenure. It is expected that a component of teaching is effective student advisement, either formal or informal.

The teaching portfolio should include, but is not limited to, evidence of teaching excellence as follows: command of the subject matter; ability to organize and present subject matter in a logical and meaningful way; ability to motivate and stimulate creativity, intellectual curiosity, and interest in writing and inquiry in undergraduates and/or graduate students; and evidence of peer evaluation. Documentation of teaching should routinely include: a statement of teaching philosophy; course materials; student evaluations for at least eight courses, wherever possible, or for every course evaluated during the probationary period, if this number is greater, as described in the ETSU Faculty Handbook; results of peer evaluations of teaching, as described in the ETSU Faculty Handbook; and evidence of supervision of student projects and other forms of student mentorships. A candidate for tenure may choose to include other types of evidence that support his/her application for tenure such as additional student input; student products; teaching recognition; teaching scholarship; evidence of professional development in teaching; evidence of disciplinary or interdisciplinary program or curricular development; alumni surveys and student exit interviews; and other evidence of excellence in teaching or mentoring, or both.

Evidence of effectiveness in academic assignments other than classroom teaching shall include materials and information that are pertinent to the assignment in question.

Professional Service

Evidence of contributions in the area of professional service should be offered by the candidate. Documentation of all service activities is required.

Professional service encompasses a faculty member's activities in one of three areas: outreach or public service, university service, and professional service.

  1. The outreach or public service function is the university's outreach to the community and society at large, with major emphasis on the application of knowledge for the solution of problems with which society is confronted. Outreach primarily involves sharing professional expertise and should directly support the goals and mission of the university. A vital component of the university's mission, public service must be performed at the same high levels of quality that characterize the teaching and research programs.
  2. University service refers to work other than teaching and scholarship done at the department, college, or university level. A certain amount of such service is expected of every faculty member; indeed, universities could hardly function without conscientious faculty who perform committee work and other administrative responsibilities. University service includes, but is not limited to, serving on departmental committees and participating in college and university committees. Some faculty members may accept more extensive citizenship functions, such as a leadership role in the Faculty Senate, membership on a specially appointed task force, service as advisor to a university-wide student organization, and membership on a university search committee.
  3. Professional service refers to the work done for organizations related to one's discipline or to the teaching profession generally. Service to the profession includes association leadership, journal editorships, articles and grant proposal review, guest lecturing on other campuses, and other appropriate activities. Significant professional service requires more than organizational membership and attendance. Examples of significant service include that done by an officer of a professional organization or a member of the editorial staff of a journal.

Research, Scholarship, and Creative Activities

A candidate for tenure must present evidence of his/her research, scholarship and/or creative activities when he/she applies for tenure. Such evidence should cite books, journal articles, monographs, creative activities, performances, or exhibitions that have undergone appropriate peer review. Research publications in refereed journals or media of similar quality are considered reliable indicators of research/scholarly ability. Written reviews and evaluations by qualified peers, either in person or aided by other forms of reports, or both, are appropriate for performances, compositions, and other artistic creations. Books published by reputable firms and articles in refereed journals, reviewed by recognized scholars, are more significant than those that are not subjected to such rigorous examination. It should be emphasized that quality is more important than quantity.

The tenure application must include evidence of peer review of the candidate's record of research/scholarly activity by qualified peers. The scholarship of teaching is a valid measure of research capability. It goes beyond doing a good job in the classroom; creative teachers should organize, record, and document their efforts in such a way that their colleagues may share their contributions to the art of teaching. Appropriate textbooks or educational articles in one's own discipline and innovative contributions to teaching, if published or presented in a peer-reviewed forum, constitute scholarship of teaching.

Clear evidence of the quality of work should accompany each application. Evidence supplied by the candidate might include records of the following:

  1. Publications: These include textbooks, books or chapters in books, articles in refereed journals, articles in non-refereed journals, monographs, refereed and non-refereed conference proceedings, book reviews, and other related items.
  2. Papers presented: These include those papers presented at local, state, regional, national, and international professional meetings. The significance of content and selection process should be considered in the process of reviewing such presentations.
  3. Performance or exhibitions: These include performances or exhibitions that are invited or juried by nationally or regionally recognized members or groups within the discipline.
  4. Research in progress: Verification of stages of development is mandatory.
  5. Other items such as funded or unfunded research proposals, computer software development, or audio-visual media may also be considered.

Other Factors for Consideration

  1. Candidates should present evidence of continuing professional development. Much of that evidence will be submitted in the sections on teaching, service, research, and scholarly and creative activity as indicated above. Additional evidence related to professional growth may include courses taken for credit, courses audited, seminars attended, and independent study activities.
  2. The candidate should present evidence, in the annual faculty review process, of contributions to institutional as well as to individually established goals in teaching, research, creative and scholarly activities, and service. The quality of the candidate's contributions, however, will be of greater importance than the adherence of those contributions to objectives.

Revised 12/01

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Criteria for Assessing the Long-Term Staffing Needs of the Department or Division and the University

The long-term staffing needs of the department/division and the university are taken into account at each level in the review process when candidates are evaluated for tenure. Criteria to be considered may include:

  1. Enrollment patterns.
  2. Program changes.
  3. Potential for staff additions.
  4. Prospective retirements and resignations.

Long term departmental or college staffing needs should be documented in approved staffing plans that are reviewed and, if necessary, updated annually. The use of a plan as a factor in tenure consideration is only appropriate after the university approves it. Approved plans should reflect thorough review at the departmental and college levels and, after approval, should be maintained as public information in offices of appropriate department chairs and deans and the Vice President for Academic Affairs or the Vice President for Health Affairs. Approved staffing plans will be made available on request to the Faculty Senate.

Expiration of Tenure

Tenure status shall expire upon retirement of the faculty member. Tenure shall also expire upon the event of permanent physical or mental inability of a faculty member, as established by an appropriate medical authority, to continue to perform his/her assigned duties.

Relinquishment of Tenure

A faculty member shall relinquish or waive his/her right to tenure upon resignation from the university or upon failure to report for service at the designated date of the beginning of any academic term, which shall be deemed to be a resignation unless, in the opinion of the president, the faculty member has shown good cause for such failure to report. Where a tenured faculty member is transferred or reclassified to another department or academic program unit by the university, the transfer or reassignment shall be with tenure. Tenure is not relinquished during administrative assignments at the university.

Termination of Tenure for Reasons of Financial Exigency

A tenured faculty member may be terminated as a result of financial exigency at East Tennessee State University subject to Board declaration that such financial conditions exist. Personnel decisions (including those pertaining to tenured faculty) that result from a declaration of financial exigency at a Board of Regents university will comply with the Board Policy on Financial Exigency (5:02:06:00 http://www.tbr.edu/policies/default.aspx?id=1492 ).

Termination of Tenure for Curricular Reasons

The employment of a tenured faculty member may be terminated because 1) an academic program is deleted from the curriculum or 2) because of substantial and continued reduction of student enrollment in a field or discipline. Before declaring that curricular reasons exist, the president will ensure meaningful participation by the Faculty Senate in identifying the specific curricular reasons, evaluating the long-term effect on the university's curriculum and its strategic planning goals, and the advisability of initiating further action. Prior to initiating the process described below, the president will present-either orally or in writing-a description of curricular reasons that may warrant the termination of tenured faculty member(s). Each of these reasons for termination of tenure for curricular reasons must denote shifts in staffing needs that warrant greater reductions than those which are accommodated annually in light of shifting positions from one department to another or among colleges to handle changing enrollment patterns.

The president, upon determining that curricular reasons may warrant the termination of tenured positions, shall so inform the executive committee of the Faculty Senate. At the earliest possible date after said notification, as agreed to by the president and the Executive Committee, the president or his/her designee shall appear before the Senate for the purpose of presenting all relevant information. Senators and affected unit members shall have an opportunity to pose questions and seek further information. The Faculty Senate shall respond, in writing, within thirty (30) days of this meeting.

Upon determining that termination of one or more tenured faculty members is required for one or more of the two reasons cited above, the president shall furnish each faculty member to be terminated a written statement of the reasons for the termination. Those reasons shall address fully the curricular circumstances that warranted the termination and shall indicate the manner and the information in and upon which the decision to terminate was reached. The president's written statement shall also indicate that the faculty member has the opportunity to respond in writing stating any objections to the decision.

If the faculty member(s) to be terminated indicates objections to the president's written statement(s) and request(s) a review, the president will appoint a faculty committee consisting of a minimum of five tenured faculty members from a slate of ten tenured faculty members proposed by the Faculty Senate. That committee shall conduct a hearing on the proposed termination(s). The committee shall then report its findings and recommendations to the president, who shall in a reasonable time inform in writing the faculty member(s) proposed for termination either that the decision for termination stands or that it has been altered.

The president's decision to terminate a tenured faculty member for curricular reasons is subject to appeal to the chancellor and the Board as provided in the policy on appeals to the Board (TBR Policy 1:02:11:00 http://www.tbr.edu/policies/default.aspx?id=4834).

When a tenured faculty member is terminated for curricular reasons, the position will not be filled by a new appointee with the same areas of specialization as the terminated faculty member within a period of three years unless the terminated faculty member has been offered, in writing, reappointment to the position at his/her previous rank and salary (with the addition of an appropriate increase which, in the opinion of the president, would constitute the raise that would have been awarded during the period that s/he was not employed).

Upon determining that termination of one or more tenured faculty members is warranted for curricular reasons, the president shall base a decision about which faculty member(s) should be terminated upon an assessment as to what action would least seriously compromise the educational programs in a department or division. Termination for curricular reasons presumes a staffing pattern in a department or division that cannot be warranted either by comparison with general load practices within the institution or by comparison with faculty loads in comparable departments or divisions at similar institutions. In that light, the president shall also, in his/her discretion, base a decision on a careful assessment of the impact of the curricular reason on staffing requirements in the division or department as compared to overall patterns in the institution and to comparable departments or divisions in institutions similar to ETSU.

Unless the president demonstrates (preferably by means of past performance evaluations) that an exception should be made to protect the quality of an educational program, the following considerations should guide-but not be construed as mandatory-in determining the order of faculty reductions in a department or division where termination of tenured faculty is proposed for curricular reasons:

  1. Part-time faculty within a department or division should not be hired or renewed before tenured faculty are terminated.
  2. Temporary faculty or tenure-track faculty in the probationary period should not be renewed before tenured faculty are terminated.
  3. Among tenured faculty those with higher rank should have priority over those with lower rank.
  4. Among tenured faculty with comparable rank, those with appropriate higher academic degree(s) should have priority over those with lower degrees.
  5. Among tenured faculty with comparable rank and degrees, those with greater seniority in rank should normally have priority over those with less seniority.

Definitions

  1. "Program is deleted from the curriculum" means that the Board takes formal action to terminate a degree major, concentration, or other curricular component and that such termination eliminates or reduces need for faculty qualified in that discipline or area of specialization."
  2. "Substantive and continued reduction of student enrollment in a field" means that over a period of at least three (3) years student enrollment in a field has decreased at a rate in considerable excess of that of the institution as a whole and that such reduction has resulted in faculty-student ratios that, in the opinion of the president, cannot be warranted either by comparison with equivalent faculty load practices within the university or by comparisons with faculty loads in comparable departments or divisions at similar institutions which the president would deem to be appropriate for comparison."

When a tenured faculty member is to be terminated for curricular reasons, the president will make every possible effort to relocate that faculty member in another existing vacant position for which s/he is qualified. In instances where, in the opinion of the president, relocation within the institution is a viable alternative, the institution has an obligation to make significant effort to relocate the faculty member, including the bearing of reasonable retraining costs. The final decision on relocation is within the discretion of the president.

When relocation within the institution is not possible, or the faculty member involved desires to go elsewhere, every reasonable effort will be made to assist in said relocation.

Transfer of Tenure

Where a faculty member is tenured in an academic program unit (e.g., a department or division) he/she may be transferred to another academic program unit. In such cases, the transfer will be made with tenure; moreover, the tenure appointment will be transferred to the new academic program unit. In no instance may the faculty member be compelled to relinquish tenure as a condition for effecting the transfer.

Termination for Adequate Cause

A faculty member with tenure or a faculty member on a tenure-track appointment prior to the end of the term of appointment may be terminated for adequate cause, which includes the following:

  1. Incompetence or dishonesty in teaching or research.
  2. Willful failure to perform the duties and responsibilities for which the faculty member was employed or refusal or continued failure to comply with the policies of the Board, the university or the department, or to carry out specific assignments, when such policies or assignments are reasonable and non-discriminatory.
  3. Conviction of a felony or a crime involving moral turpitude.
  4. Improper use of narcotics or intoxicants, which substantially impairs the faculty member's fulfillment of his/her departmental and university duties and responsibilities.
  5. Capricious disregard of accepted standards of professional conduct.
  6. Falsification of information on an employment application or other information concerning qualifications for a position.
  7. Failure to maintain the level of professional excellence and ability demonstrated by other members of the faculty in the department or academic program unit of the university.

Procedures for Termination for Adequate Cause

Termination of a faculty member with a tenure appointment or a tenure-track appointment prior to the end of the annual specified term of the appointment, shall be subject to the following procedures:

The proposed termination will be preceded by discussion between the faculty member and appropriate administrative officers in an attempt to reach a mutually agreeable settlement. In the event that a mutually agreeable settlement cannot be achieved the president shall appoint an informal inquiry committee consisting of five tenured faculty members.

Although not mandatory, every attempt shall be made to appoint committee members acceptable to the faculty member concerned. This committee shall attempt to arrange a mutually agreeable settlement between the various parties. Failing in this, the committee shall render a recommendation to the president concerning the desirability of initiating formal dismissal proceedings. This recommendation shall not be binding upon the president.

A dismissal will be preceded by a written statement of reasons, and the faculty member concerned will have the right to be heard by a hearing committee consisting of members of the faculty and administration (and not including any member of the faculty committee referred to in the preceding paragraph). This hearing committee shall consist of seven members appointed jointly by the presidents of the university and the Faculty Senate. The president of the university shall appoint one of the seven to chair the committee. The committee shall, at its first meeting, determine its own rules and procedures not otherwise specified in this document.

Any party to the case has the right to challenge hearing committee members for cause. In the event of such challenges, replacement members will be chosen in the manner specified in the ETSU Faculty Handbook.

Pending a final recommendation by the hearing committee, the faculty member will be suspended or assigned to other duties in lieu of suspension only if the president determines that immediate harm to the faculty member himself or herself or others or significant disruption to any university operation is threatened by continuance. Before suspending a faculty member, pending an ultimate determination of his/her status through the institution's hearing procedures, the administration will consult with the hearing committee concerning the propriety, the length, and the other conditions of the suspension. Suspension is appropriate only pending a hearing. Salary will continue during the period of suspension.

The hearing committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties to define and clarify the issues, effect stipulations of facts, provide for the exchange of documentary or other information, and achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.

Service of notice of hearing, with a statement of the time and place of the hearing and with specific charges in writing, will be made at least twenty (20) days prior to the hearing. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing, but denies the charges or asserts that the charges do not support a finding of adequate cause, the hearing tribunal will evaluate all available evidence and base its recommendation upon the evidence in the record.

During the proceedings the faculty member will be permitted to have an advisor and/or counsel of his or her choice. This advisor or counselor may be present during the hearing but may not participate.

A court reporter will transcribe the hearing or hearings and, at the faculty member's request, a transcript will be made available without cost to the faculty member.

The burden of proof that adequate cause exists rests with the institution and shall be satisfied only by clear and convincing evidence in the record considered as a whole.

The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration will cooperate with the hearing committee in securing witnesses and making available documentary and other evidence.

The faculty member and the administration will have the right to confront and cross-examine all witnesses. Where the witnesses cannot or will not appear, but the committee determines that the interests of justice require admission of their statements, the committee will identify the witnesses, disclose their statements, and if possible provide for interrogatories.

In the hearing of charges of incompetence, the testimony may include that of qualified faculty members from East Tennessee State University and other institutions of higher education.

The hearing committee will not be bound by strict rules of legal evidence, and may admit any evidence which is of value in determining the issues involved. The committee will seek to obtain the most reliable evidence available.

Except for such simple announcements as may be required concerning the time of the hearing and similar matters, public statements and publicity about the case by the faculty member, members of the hearing committee, or administrative officers will be avoided until the proceedings have been completed, including consideration by the Board. The president and the faculty member will be notified of the decision in writing and will be given copies of the record of the hearing.

  1. If the hearing committee concludes that adequate cause for dismissal has been established by the evidence in the record, the faculty member may appeal that decision to the president within ten days. The hearing committee may recommend to the president, with supporting reasons, that a penalty other than dismissal would be more appropriate. If the hearing committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the president, who may reject the report with a written statement of reasons. Any decision by the president may be appealed to the Board within twenty calendar days of the decision pursuant to the following subsection:If dismissal or other severe sanction is recommended, the president will, on request of the faculty member, transmit to the chancellor the record of the case. The review of the record by the Board or its designee will be based on the record of the committee hearing, and will provide for written argument by the principals or by their representatives. The decision of the president will either be sustained, or the proceeding returned to the president with specific objections. The president will then reconsider, taking into account the stated objections, and return the case to the hearing committee if necessary. The Board or its designee will make a final decision only after study of the president's reconsideration.
  2. If the president determines that adequate cause for dismissal, or other lesser sanctions, has not been established the hearing record will be expunged.


05/04/87; 07/91; 05/92; 07/92; 09/96; 07/97 (Effective 1998-99 review cycle); 01/02; TBR 04/02/04; 02/12/09; 10/13/11; 08/01/13 

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Workload, Reporting, and Evaluation for Full-Time Faculty

Faculty Workload


Faculty appointments are governed by Tennessee Board of Regents Policy No. 5:01:00:00, and TBR Guideline A-052, which address, among other subjects, the length of the work week, holding office hours, and non-instructional assigned time. Although the traditional classification of faculty workload is in terms of teaching, research and service, this simple breakdown does not capture well the complexity of faculty activities in a modern university. Instruction takes many forms; research, scholarship and creative activity are highly dependent on the nature of the discipline; and university, professional and community service and outreach defy uniform classification across disciplines. In many instances, activities can be considered as falling within two or even three of these categories. Determining an appropriate workload for an individual faculty member that will prepare him/her for tenure and/or promotion, and lead him/her to make meaningful contributions to the university requires consideration of each of the above, as well as the particular strengths and interests of that individual within the context of departmental, college and university needs. It is evident that a uniform approach to determining faculty workload across the university, within a college, or even within a department or academic program, will rarely be productive.

Departmental Workload Policy

Each department or equivalent administrative unit shall develop a faculty workload policy that addresses the university's mission and goals, as well as those of the college, department and, where applicable, the appropriate accrediting or approval body. The policy shall be decided by all departmental faculty to whom it will apply, and it should involve sufficient flexibility that it would allow the department to draw upon each faculty member's unique ability to contribute. Each departmental faculty workload policy shall be approved by the appropriate dean and vice-president. Departmental workload policies shall be reviewed by the departmental faculty at least once every five years and be re-affirmed or revised as appropriate to the department. The departmental workload policy shall be made available to all faculty members within the department to whom it pertains.

The policy shall include a clearly delineated appeals process. Each college shall establish a workload review committee, to which appeals may be addressed; this committee shall make recommendations for resolution to the dean. It is recommended that each department also establish such a committee in order to seek to resolve disputes at the department level.

Individual faculty workloads should be developed by the faculty member and his/her chair working within the guidelines set by the department. The proposed workload should be stated in writing and signed by the faculty member, the chair and the dean. Individual workloads should be set annually for untenured faculty, who receive annual contracts. For tenured faculty, individual workloads should be established for a typical period of three to five years. However, since each faculty member is evaluated annually and new opportunities may become available in the areas of teaching, research/scholarship and/or service, faculty workloads may be subject to review and adjustment as reasonable and necessary. The appropriate time of year to establish individual faculty workloads should be determined at the department level, bearing in mind such matters as deadlines for submission of teaching schedules, periods of service on boards or committees, or grant submission deadlines.

Workload Review

If a faculty member and his/her chair cannot agree upon an appropriate workload, the faculty member may submit a request for resolution, as outlined in the departmental workload policy appeals process. He/She should submit the request to the departmental review committee, if such a committee has been established. If a departmental committee has not been established, or the faculty member is not satisfied with the response of the departmental committee, he/she should forward the request to the college workload review committee. This committee will make a recommendation to the dean, who will inform the faculty member and the chair of his/her decision. If the faculty member is not satisfied with the dean's decision, he/she may seek guidance from a Faculty Senate Procedural Consultant and, if appropriate, file a complaint or grievance through appropriate channels.

Workload Limits and Overloads

The agreed upon faculty workload will normally set limits on the expected activities of a faculty member. In rare instances, a faculty member may be asked to assume an additional responsibility, for example, to teach an additional course. In such circumstances the faculty member may qualify for overload pay. All overloads must be documented and agreed to by the faculty member, his/her chair and the dean, and recommended in advance by the Provost and approved by the President. Overload pay should be based on the rate set by the Tennessee Board of Regents.

09/25/79; 03/15/91; 12/11/08

Faculty Reporting and Evaluation Process

East Tennessee State University implements an annual reporting and evaluation process for all tenure-track, tenured, and non-tenurable clinical and research faculty, including department chairs. After each academic year, the faculty member submits a report that includes the following items:

A description and documentation of the teaching, research/creative activities, service activities, and administrative activities in which s/he has engaged for that year, a report of professional development activities for that year and how they have contributed to enhanced effectiveness in the areas of teaching, scholarship, service, or administration, a self-evaluation and a proposed professional development activities for the coming year.

Faculty members throughout the university are expected to submit the required information at the designated time and in the university's standard, designated format. Some departments or colleges may require additional information.

For each faculty member, students will complete Student Assessment of Instruction (SAI) in at two classes during fall and spring semesters, if the faculty member teaches courses for which such assessment is appropriate. Following the completion of the semester, SAI results are reported to the faculty member, as well as to deans and department chairs. Information about teaching effectiveness, including but not limited to the results of Student Assessment of Instruction, is used in annual evaluation of faculty members and in evaluation of applications for tenure and promotion. 1989; 02/18/07

Department chairs and deans use the report of the faculty member's activities, the faculty member's self-evaluation, the results of Student Assessment of Instruction, and other appropriate sources of information to assess each faculty member's professional performance. An important part of the evaluation process, according to Tennessee Board of Regents and ETSU policy, is appraisal of progress toward tenure for individuals on tenure track appointments. Compliance with these policies is accomplished in part by department chair and dean's responses regarding progress toward tenure in the annual evaluation of faculty. Additionally, department chairs and deans should also comment on progress toward promotion when appropriate.

The faculty evaluation process culminates with an individual conference between the department chair and each faculty member or between the department chair and dean. The professional development plan for the coming year will be approved in consultation with the department chair or dean. During the evaluation process, the department chair or dean may add professional development or improvement objective(s). These objectives are to be considered important directions for the faculty member, especially for tenure, promotion, and merit pay considerations. These recommended professional development objectives will be included as part of the faculty member's professional development plan and report for the next academic year.

The department chair forwards the results of her/his evaluation of the faculty member's performance for the year and the results of the department chair/faculty evaluation conference to the college dean. After reviewing the documents and the results of the department chair/faculty conference, the college dean adds her or his assessment of the faculty member's performance with comments or suggestions.

Evaluation Guidelines

In evaluating the activities of a tenure-track faculty member or one eligible for promotion, the department chair and dean should refer to the discussions of teaching, research/creative activity, and service that appear in the tenure and promotion sections of the ETSU Faculty Handbook and in the department's supplementary criteria for tenure and promotion. In evaluating the activities of a faculty member who has been awarded tenure and promoted to professor or who is otherwise not eligible for tenure or promotion, the department chair and dean should assess the faculty member's continued productivity in teaching, research/creative activity, and service as appropriate to his/her workload assignments and professional development plan.

Upon completion of the post-evaluation conference between a faculty member and department chair, the faculty member may request a meeting with the dean to review the department chair's evaluation and/or may submit additional information for the dean's consideration. Such a request must be made in writing within one week of the completion of the post-evaluation conference. Having reviewed the faculty member's activities report and met with the faculty member and the department chair, the dean will write her or his evaluation of the faculty member's performance.

Action if a Faculty Member Refuses or Fails to Make Adequate Progress

If a tenured, tenure-track, or non-tenurable clinical or research faculty member, judged to be performing below her or his department or college's professional standards, refuses to engage in self-generated or recommended self-improvement efforts or fails to demonstrate adequate progress on an approved plan, appropriate action will be taken. Actions may include, but are not limited to, implementation of the procedures for termination of tenured faculty as stipulated in the ETSU Faculty Handbook or contract non-renewal.

10/24/96; 02/18/07

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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

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