Appalachian State University

Appalachian State University Faculty Handbook • rev June 29, 2021 1

FACULTY HANDBOOK

Last Revised: July 29, 2021

Foreword

The purpose of publishing the Faculty Handbook is to provide ready access to information

concerning the orderly operation of the University. This electronic publication found on the Office

of Academic Affairs Web Page provides answers to questions frequently asked about operating

procedures and policies, but does not purport to include all information. The reader is encouraged

to address to members of the administration or Faculty Senate any questions for which the

handbook does not provide answers.

As policies, procedures, and operating guidelines that affect the Faculty Handbook change, they will

be posted to the web site. Such changes will be incorporated once a year following the Board of

Trustee’s approval.

It is hoped that each faculty member will find the Faculty Handbook useful. You are encouraged and

invited to make comments and suggestions to the provost and executive vice chancellor.

Preamble

As provided in section 502D (1) of The Code of The Board of Governors of The University of North

Carolina, the Chancellor is authorized and required to “define the scope of authority of faculties,

councils, committees, and officers of the institution,” subject to policies established by the Board of

Governors, the Board of Trustees, and the President. The Chancellor has designated the Provost

and Executive Vice Chancellor to make authoritative interpretations of all policy and procedure

statements of Appalachian State University, including those set forth in this Faculty Handbook. In

interpreting these documents, the provost and executive vice chancellor will consult with

appropriate personnel familiar with the documents and the practices at Appalachian State

University. Objections to these interpretations can be appealed to the chancellor. Such objections

will not suspend requirements for faculty members or administrators to comply with time limits

related to personnel action unless those time limits are extended in writing by the chancellor.

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Appalachian State University Faculty Handbook • rev June 29, 2021 2

Mission Statement

Established in 1899 as Watauga Academy, Appalachian State University has evolved into a

preeminent university located in a unique, rural mountain environment. As a member of the

University of North Carolina, Appalachian’s fundamental mission is to discover, create, transmit,

and apply knowledge to address the needs of individuals and society. This mission is achieved by

providing undergraduate students a rigorous liberal education that emphasizes transferable skills

and preparation for professional careers; offering graduate students distinctive, relevant programs;

maintaining a faculty whose members serve as excellent teachers and scholarly mentors for their

students and who produce high levels of scholarship and creative activities. Appalachian

recognizes that the success of the University depends upon the achievement and cooperation of a

diverse community of students, faculty, and staff and strives to implement policies and allocate

resources accordingly. We accept our responsibility to be actively involved in addressing the

educational, economic, cultural, and societal needs of the changing region, state, nation, and world.

As a publicly funded institution, Appalachian is committed to accomplishing its initiatives through

efficient and effective resource utilization.

Equal Opportunity Policy

Appalachian State University is committed to providing equal opportunity in education and

employment to all applicants, students, and employees. The University does not discriminate in

access to its educational programs and activities, or with respect to hiring or the terms and

conditions of employment, on the basis of race, color, national origin, religion, sex, gender identity

and expression, political affiliation, age, disability, veteran status, genetic information or sexual

orientation. The University actively promotes diversity among students and employees.

Appalachian State University Faculty Handbook • rev June 29, 2021  3 
Contents 
Preamble ..................................................................................................................................................................... 1 
Mission Statement .................................................................................................................................................... 2 
Equal Opportunity Policy ....................................................................................................................................... 2 
I.  Faculty Constitution ............................................................................................................................................ 6 
Preamble ..................................................................................................................................................................................... 6 
ARTICLE I.  Composition of the Faculty ........................................................................................................................... 6 
ARTICLE II.  Meeting and Voting ........................................................................................................................................ 6 
ARTICLE III.  Officers of the Faculty .................................................................................................................................. 6 
ARTICLE IV.  The Faculty Senate ........................................................................................................................................ 7 
ARTICLE V. Graduate Faculty .............................................................................................................................................. 9 
ARTICLE VI.  University and Faculty Committees ..................................................................................................... 10 
ARTICLE VII.  Amendments .............................................................................................................................................. 11 
ARTICLE VIII.  Rules of Procedure .................................................................................................................................. 11 
BYLAWS FOR ARTICLE II.  Meeting and Voting ......................................................................................................... 12 
BYLAWS FOR ARTICLE IV.  The Faculty Senate ......................................................................................................... 12 
II. ADMINISTRATIVE STRUCTURE OF THE UNIVERSITY ............................................................................. 13 
2.1  The University of North Carolina ............................................................................................................................ 13 
2.2  The Board of Governors ............................................................................................................................................. 14 
2.3  The Board of Trustees ................................................................................................................................................ 14 
2.4  The Chancellor............................................................................................................................................................... 14 
2.5  The Provost and Executive Vice Chancellor ........................................................................................................ 16 
2.6  The Dean of a College/School................................................................................................................................... 19 
2.7  The Dean of the Cratis D. Williams School of Graduate Studies ................................................................... 20 
2.8  The Departmental Chair............................................................................................................................................. 21 
2.9  The Departmental Assistant Chair ......................................................................................................................... 22 
2.10 The Departmental Graduate Program Director ............................................................................................... 23 
2.11 The Departmental Undergraduate Program Director ................................................................................... 23 
III. Faculty Rights and Responsibilities ........................................................................................................... 25 
3.1  Equality of Opportunity ............................................................................................................................................. 25 
3.2  Freedom and Responsibility in the University Community .......................................................................... 25 
3.3  Academic Freedom and Responsibility of Faculty ............................................................................................ 25 
3.4  Primacy of Academic Governance over Academic Curriculum and Instruction .................................... 25 
3.5  Professional Ethics ....................................................................................................................................................... 27 
3.6  Integrity in Scholarship and Scientific Research ............................................................................................... 27 
3.7  Academic Tenure .......................................................................................................................................................... 31 
3.8  Tenure-Eligible Academic Ranks ............................................................................................................................ 32 

Appalachian State University Faculty Handbook • rev June 29, 2021  4 
9  Faculty Status of Librarians ...................................................................................................................................... 38 
10  Joint Appointments ................................................................................................................................................... 38 
11  Retirement Policy ...................................................................................................................................................... 39 
12  Emeritus/Emerita/Emeritx Status ...................................................................................................................... 39 
13  Special Faculty Appointments ............................................................................................................................... 40 
14  Part-Time Faculty ...................................................................................................................................................... 44 
IV. Selected Regulations Applicable to Academic Administration and Faculty Employment ......... 46 
1  Departmental Personnel Committees, Departmental Tenure and Promotion Committees, and 
Search Committees .............................................................................................................................................................. 46 
2  Appointments to the Faculty .................................................................................................................................... 52 
3  Evaluation of Faculty ................................................................................................................................................... 53 
4  Reappointment, Promotion, and Tenure ............................................................................................................. 55 
5  The Graduate Faculty .................................................................................................................................................. 59 
6  Non-Reappointment of Tenure-Track Faculty Members on Probationary Term Appointments .... 61 
7  Post-Tenure Review .................................................................................................................................................... 62 
8  Faculty Resignations ................................................................................................................................................... 64 
9  Termination of Faculty Employment .................................................................................................................... 64 
10  Discharge or the Imposition of Serious Sanction ........................................................................................... 66 
11  Policies and Procedures for Employment Dispute Resolution .................................................................. 70 
12  Policy Regarding Personnel Files ......................................................................................................................... 78 
13  Appointment and Review of Academic Administrators ............................................................................... 81 
V.  University Mandates Applicable to Faculty and Academic Administrators .................................... 90 
1  Employment of Related Persons (Anti-Nepotism Policy) .............................................................................. 90 
2  Improper Relationships Between Students and Employees ......................................................................... 91 
3  Conflicts of Interest and Commitment .................................................................................................................. 92 
4  Policy on Outside Work .............................................................................................................................................. 92 
5  Political Activity of University Employees........................................................................................................... 93 
6  Use of State Property................................................................................................................................................... 93 
7  Soliciting for Sales, Other Commercial Announcements, or Selling on Campus .................................... 94 
VI.  Faculty Workload and the Instruction of Students ............................................................................... 95 
1  Faculty Workload ......................................................................................................................................................... 95 
2  Paid Leaves of Absence and Other Adjustments of Employment Obligations ........................................ 97 
3  Student Absences From Class ................................................................................................................................102 
4  Student Involvement in Faculty Searches..........................................................................................................104 
5  Academic Integrity and Student Discipline .......................................................................................................104 
6  Obtaining Academic Credit By Fraudulent Means ..........................................................................................105 
7  Student Advising .........................................................................................................................................................105 
8  Students with Disabilities ........................................................................................................................................106 

Appalachian State University Faculty Handbook • rev June 29, 2021  5 
9  Major Tests and Assignments Prior to Exams ..................................................................................................107 
10  Class Evaluations .....................................................................................................................................................107 
11  Final Examinations ..................................................................................................................................................107 
12  Final Grades ...............................................................................................................................................................108 
13  Commencement Exercises ....................................................................................................................................110 
14  Faculty Responsibility During Fire or Other Emergencies........................................................................110 
15  Other Academic Policies and Procedures........................................................................................................110 
VII.  Faculty Senate, Committees, and Councils ........................................................................................... 111 
1  Faculty Senate ..............................................................................................................................................................111 
2  Faculty Senate Committees .....................................................................................................................................111 
3  University Committees .............................................................................................................................................115 
4  Faculty Committees ...................................................................................................................................................124 
5  University Councils ....................................................................................................................................................125 
VIII. Employee Benefits and Services ............................................................................................................. 132 
1  Salary Checks ...............................................................................................................................................................132 
2  Insurance .......................................................................................................................................................................132 
3  Retirement and Social Security .............................................................................................................................132 
4  Tax-Sheltered Annuity Programs .........................................................................................................................133 
5  Auxiliary Services .......................................................................................................................................................133 
6  Controller ......................................................................................................................................................................134 
7  Telephone Services ....................................................................................................................................................135 
8  Parking and Traffic ....................................................................................................................................................135 
9  University Police .........................................................................................................................................................135 
10  Campus Ambulance Service .................................................................................................................................136 
11  University Recreation.............................................................................................................................................136 
12  The Office of Title IX Compliance .......................................................................................................................138 
13  Office of Disability Resources ..............................................................................................................................138 
14  The Center for Academic Excellence .................................................................................................................138 
15  Information Technology Services ......................................................................................................................139 
16  International Education and Development ....................................................................................................139 
17  University Library ...................................................................................................................................................141 
18  Office of Student Research ....................................................................................................................................141 
19  Faculty Courtesy Fund ...........................................................................................................................................141 
Appendices ............................................................................................................................................................ 142 
A. Link to UNC Code ...........................................................................................................................................................142 
B. Link to UNC Faculty Assembly ..................................................................................................................................142 
C. Link to ASU Policy Manual ..........................................................................................................................................142 

Appalachian State University Faculty Handbook • rev June 29, 2021 6

I. Faculty Constitution

Preamble

The faculty of Appalachian State University acknowledges the principle of faculty self-government

and also recognizes its responsibility for helping the University administration direct the internal

affairs of this institution. This constitution establishes the procedures whereby that responsibility

shall be discharged.

The faculty of Appalachian State University accepts the fact that the Board of Governors of The

University of North Carolina and the Board of Trustees of Appalachian State University are charged

with the responsibility of establishing policy with respect to the operation of the institution.

Further, the faculty recognizes the authority of the chancellor of Appalachian State University as the

executive officer of The Board of Trustees. No part of this constitution shall be interpreted as being

in conflict with the rules and regulations set forth by the Board of Governors of The University of

North Carolina, the Board of Trustees of Appalachian State University, or the laws of The State of

North Carolina.

ARTICLE I. Composition of the Faculty

The faculty shall consist of those persons employed by Appalachian State University who hold the

rank of instructor, assistant professor, associate professor, professor, and lecturer; and also those

persons appointed as emeriti faculty and adjunct faculty.

ARTICLE II. Meeting and Voting

Section 1. The faculty shall meet at least once each term during the regular academic year.

Section 2. All members of the faculty, excluding part-time faculty teaching less than six (6) hours

per semester, emeriti faculty, and adjunct faculty, have the right to hold faculty offices and to vote in

faculty meetings and faculty elections and in departmental and college committees on which they

serve except as noted in Article II, Section 3.

Section 3. Those eligible to serve on and participate in election of members to departmental

personnel committees are full time faculty in the ranks of instructor, assistant professor, associate

professor, and professor.

Section 4. When the interests of the University may be served, other members of the University

community may be invited to attend meetings of the faculty and its committees.

ARTICLE III. Officers of the Faculty

Section 1. The officers of the faculty shall be the chair, vice chair, recorder, and parliamentarian.

Section 2. The provost and executive vice chancellor, as chair of the faculty, shall preside at the

faculty meetings.

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Section 3. The chair of the Faculty Senate shall be the vice chair of the faculty and shall assist the

chair of the faculty in the performance of the duties of the chair of the faculty, including such duties

as presiding at the faculty meetings in the absence of the chair of the faculty.

Section 4. The secretary of the Faculty Senate is responsible for the accuracy of the motions,

resolutions, voting results and major discussion points during the Faculty Senate meetings. All

Faculty Senate meetings are recorded electronically and transcribed by the office assistant. The

secretary is responsible for reviewing the accuracy of the transcribed minutes prior to being

submitted to the Faculty Senate for approval. The Faculty Senate minutes are posted on the Faculty

Senate web site and distributed to all members of the faculty, administration, and the Board of

Trustees. The Faculty Senate minutes are also submitted to the University Archives to assure

preservation and long-term access.

Section 5. The parliamentarian, designated by the chair of the faculty, shall adjudicate any

questions as to proper parliamentary procedure.

ARTICLE IV. The Faculty Senate

Section 1. To provide an opportunity for direct participation in the process of decision-making

affecting the life of Appalachian State University, there shall be a Faculty Senate.

Section 2. The purpose of the Faculty Senate shall be to participate in the formation,

implementation, and review of University policy and to provide means for the faculty to act

effectively on matters with which it is concerned.

Section 3. The Faculty Senate shall consist of one member from each academic department, school,

the Library, and five at large representatives. Any unit listed above may choose not to fill its senate

seat, in which case the seat will remain empty for that academic year. Members of the senate will

be chosen as follows:

By February 1, each academic department, school and the library will elect, per established

department/unit procedures, one faculty member for any open senate seat in their respective

department/unit (Please refer to Article IV Section 6c regarding vacant positions). If a vacancy has

occurred during a senator’s three-year term a department/unit may choose not to be represented by

not electing a representative. This choice applies for the entire academic year following the election.

The five at large seats will be filled by election of faculty from across the University. Representation

to the Appalachian State University Faculty Senate requires that a faculty member hold one of the

following ranks: lecturer, instructor, assistant professor, associate professor, and professor.

Excluded are emeriti faculty and adjunct faculty. In addition, a faculty member must, according to

Faculty Handbook Section 6.2.3.3, be eligible to serve for the entire academic year. In the fall

semester of each academic year (but prior to November 1) the director of institutional research,

assessment and planning will determine the faculty eligible to represent and vote in each

department and forward that information to the faculty elections officer. The faculty elections

officer shall communicate each allocation to the deans of the various colleges and their respective

elections chairs by December 1.

Section 4. All members of the faculty (as defined in Article II, Section 2) are eligible for election to

the senate. No senator may serve more than two full terms consecutively.

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Section 5. The normally designated term of office for Faculty Senate members is three years.

Terms of members will be staggered so that one-third of the senate is elected each year. The at

large seats will be elected accordingly with two openings each year for two years and the fifth

vacancy elected in the third year.

Section 6. Procedures for electing the members of the senate:

a. The procedure for electing senators from each college shall be:

(1) By November 1, the vice chair of the Faculty Senate, who is the senate elections officer,

shall contact the department or unit head who will, according to department/unit

guidelines, put the senate elections officer in touch with the department/unit EOA;

(2) The senate elections officer shall request that the EOA of each department/unit provide a

mechanism for the election of its Faculty Senate representative;

(3) Prior to February 1, the faculty members of each department, school and the library shall

vote to elect the senate representative for their department/unit. All voting shall be by

secret ballot. It shall be the responsibility of the department/unit EOA to set the date,

time, and place of voting; prepare the ballots; supervise the election; provide for the

tabulation of votes; notify all nominees of the election results; and report the results of the

election to the senate elections officer. The mechanism for the election of the

department/unit senate representative shall be on file in the Faculty Senate office;

(4) The senate elections officer shall announce the results of each election to the general

faculty.

b. The procedure for electing members at large shall be as follows:

(1) Membership at large in the senate shall be determined by the faculty on the basis of an

annual election to be held during the spring term prior to March 1. All voting shall be by

secret ballot;

(2) The senate elections officer shall set the deadline for the submission of nominations for

members at large. Space for write-in votes will be provided on the ballots;

(3) It shall be the responsibility of the senate elections officer to set the date, time, and place

of voting; prepare the ballots; arrange for absentee balloting; supervise the election;

provide for the tabulation of the votes; and notify all nominees of the election results prior

to announcing those results to the general faculty;

c. The chair of the senate shall nominate persons to fill vacancies created by unexpired terms.

The senate shall either elect or reject nominations made by the chair. Persons so elected shall

serve until the next regular election, at which time the faculty will elect a person to complete

the unexpired term;

d. All senators elected in a given year shall take office at the special meeting of the senate in April

called at the adjournment of the regular April meeting of the senate.

Section 7. The functions of the Faculty Senate shall be to:

a. serve as the instrument through which the faculty considers and acts on University matters;

Appalachian State University Faculty Handbook • rev June 29, 2021 9

b. report at the regular meeting of the faculty all action taken on behalf of the faculty between

meetings;

c. prepare the agenda for each meeting of the faculty. There shall be an agenda committee

composed of senate members. The chair of the faculty shall be an ex-officio member of the

committee;

d. make nominations for membership of standing and special University committees;

e. act as an advisory committee to the chancellor on behalf of the faculty;

f. consider such other matters relating to faculty responsibility as the faculty may direct;

g. The Faculty Senate shall have the sole power of and the responsibility for bringing charges

against and trying senators or faculty members of University committees. Disruptive behavior

or failure to perform official duties shall be cause for removal from office upon indictment and

conviction by a two-thirds majority vote of the total Faculty Senate.

Section 8. The officers of the Faculty Senate shall consist of a chair, a vice chair, a secretary, and a

parliamentarian. These officers, with the exception of the parliamentarian, shall be elected from

the total membership of the senate at the special senate meeting in April called at the adjournment

of the regular April meeting of the senate. The chair of the faculty shall be an ex-officio member of

the senate and shall serve as liaison officer between the senate and the chancellor of the University.

It shall be the responsibility of the chair of the Faculty Senate to appoint a parliamentarian. It shall

be the responsibility of the vice chair to serve as the faculty elections officer. It shall be the

responsibility of the secretary to prepare detailed records of the deliberations of the Senate. It shall

be the responsibility of the University archivist to preserve copies of all Faculty Senate minutes and

the minutes of the general faculty meetings.

Section 9. The senate shall meet as follows:

a. A regular meeting of the full senate shall be held monthly during the academic term. Summer

meetings will be scheduled as needed.

b. Faculty members should communicate their professional concerns to their respective senators

prior to the monthly meetings of the senate.

c. A special meeting of the senate may be called at a designated time by the chair, by a petition

signed by one-third of the total membership of the senate, or by a petition signed by twenty-

five percent of the total membership of the faculty.

d. The senate shall receive written suggestions for agenda items from any member of the faculty,

the administration, student organizations, or the Board of Trustees.

e. All operating procedures governing the transaction of senate business shall be set forth in the

Faculty Senate Guidebook and Manual of Order, which shall serve as the by-laws of the

Faculty Senate.

ARTICLE V. Graduate Faculty

Section 1. To promote excellence in graduate education, to inform the faculty of current concerns,

and to provide opportunities for exchange of ideas, there shall be a Graduate Faculty.

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Section 2. The purpose of the Graduate Faculty shall be to pursue critical thinking, academic

inquiry and integrity, and to expand cultural horizons beyond that available through the

undergraduate program.

Section 3. The Graduate Faculty shall be comprised of all Appalachian State University faculty

designated under the rules of the Graduate Council as graduate faculty. The Graduate Faculty is

represented by the dean of graduate studies and research, who is the administrative officer, and the

Graduate Council.

Section 4. The officers of the Graduate Faculty shall consist of a chair, a vice chair/chair-elect, and

a secretary.

a. It shall be the responsibility of the chair to preside at all meetings of the Graduate Faculty and

at meetings of the Nominating Committee. It shall be the responsibility of the chair to serve on

the Graduate Council as an ex-officio voting member and to serve as Graduate Faculty Marshal

at commencement.

b. It shall be the responsibility of the vice chair to preside in the absence of the chair. In case of

the chair’s resignation, it shall be the responsibility of the vice chair to assume all duties of the

chair. In such circumstances, the graduate dean may appoint a vice chair to serve only for the

remainder of the academic year. It shall be the responsibility of the vice chair to serve on the

Zigli Research Award Committee.

c. It shall be the responsibility of the secretary to record and distribute the minutes of the

Graduate Faculty meetings. It shall be the responsibility of the secretary to serve on the

editorial board of Research News.

Section 5. The officers of the Graduate Faculty shall be elected by voice vote each year at the spring

meeting of the Graduate Faculty and shall serve for a one-year term of office.

Section 6. To be eligible for election to office, nominees must hold an appointment on the Graduate

Faculty that enables them to complete the term of office. Nominations shall be made by a

Nominating Committee composed of the current officers with the dean of graduate studies and

research serving as an ex-officio member.

Section 7. The Graduate Faculty shall normally meet twice an academic year, in the fall and spring

semesters, and on other occasions deemed desirable by the graduate faculty or the officers of the

graduate faculty.

Section 8. The chair shall appoint, in consultation with the dean of Graduate Studies and Research,

committees as necessary to the effective functioning of the graduate faculty.

ARTICLE VI. University and Faculty Committees

Section 1. For the purpose of this constitution, University committees are herein defined as being

those bodies of persons, other than the Faculty Due Process Committee and the Faculty Grievance

Hearing Committee (FGHC), who are selected to make recommendations for action concerning

University matters. Members of University committees are appointed by the chancellor or the duly

appointed representative of the chancellor in accordance with procedures determined by the

Faculty Senate.

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Section 2. Standing committees of the University shall be established, modified, and/or abolished,

as the Senate deems necessary. The constituent personnel, duties, and responsibilities of these

committees shall be determined by the Faculty Senate. (See Chapter VII for a list of committees.)

Section 3. The Faculty Due Process Committee and the Faculty Grievance Hearing Committee shall

be composed of faculty members who are elected by the faculty. The election procedures, the

constituent personnel, and the duties and responsibilities of these committees are set forth in

sections 607 and 603(2) of The Code of The University of North Carolina and in the Faculty Senate

Guidebook and Manual of Order.

ARTICLE VII. Amendments

Section 1. Any section of the Faculty Constitution may be amended. Amendments to the

constitution shall first be considered by the Faculty Senate in a regularly scheduled or called

meeting with a quorum present. The proposed amendment(s) shall require a two-thirds vote to

pass.

An amendment may refer to multiple sections of the Constitution, but an amendment must refer

only to a single theme or topic. If a second theme or topic is to be considered, it shall be treated as a

second amendment. More than one amendment may be considered at each meeting.

Section 2. The Faculty Senate shall determine whether a faculty vote on the amendment be carried

out electronically or through a general meeting of the faculty. The decision will require a majority

vote of the Senators.

Section 3. If voting is to be carried out electronically, a forum to discuss the proposed

amendment(s) must be held prior to a vote by the faculty. The forum will be organized by the

Faculty Senate. The proposed changes and written notice of the forum shall be sent to voting-

eligible faculty by the Faculty Senate Chair at least ten (10) working days prior to the event. Voting

on the proposed amendment(s) shall begin within 24 hours of the forum’s completion and will

remain open for five (5) working days. An affirmation of the proposed amendment(s) will require

approval by two-thirds of the faculty voting. A quorum for voting purposes shall consist of a simple

majority (50% + 1) of the voting-eligible faculty.

Section 4. If the voting on proposed changes to the Constitution are to be carried out by a general

meeting of the faculty, the Faculty Senate will notify the faculty at least ten (10) days prior to the

scheduled meeting. The Faculty Senate Chair will distribute to the faculty a copy of the proposed

amendment(s) and the rationale for the proposed changes. A quorum for the meeting shall consist

of a simple majority (50% + 1) of the voting-eligible faculty. The meeting shall be conducted

according to Robert’s Rules of Order. Passage of the proposed amendment will require approval by

two-thirds of the faculty present.

ARTICLE VIII. Rules of Procedure

Robert’s Rules of Order, as revised, shall be the governing rules of meetings of the faculty, the

Faculty Senate, the Graduate Faculty, and University Committees, unless otherwise stated. A

parliamentarian shall be present at all meetings of the general faculty and the Faculty Senate.

Appalachian State University Faculty Handbook • rev June 29, 2021 12

BYLAWS FOR ARTICLE II. Meeting and Voting

a. The provost and executive vice chancellor shall call at least two general faculty meetings

during the year, one of which shall be in the fall and another in the spring.

b. Written notice of the meetings, with agenda and the text of any proposals then in the hands of

the Faculty Senate chair upon which the faculty will be asked to take action attached, shall be

sent to each member of the faculty by the Faculty Senate chair at least six days prior to the

meeting. In emergency situations, the period of notice may be shorter.

c. The agenda for faculty meetings shall be prepared by the Agenda Committee of the

Faculty Senate.

d. For the conducting of faculty business, a quorum shall consist of not less than one hundred

faculty members. This quorum must include representatives from each of the degree-granting

colleges, schools and the library. A majority of those present at the faculty meeting shall carry

the vote, except for amendments to the constitution.

BYLAWS FOR ARTICLE IV. The Faculty Senate

a. At large nominees for the Faculty Senate will be elected by plurality voting. Faculty will be

allowed to vote for the number of at large seats that are vacant that year. In the event of a tied

vote, a special election shall be held to determine which of the nominees shall be elected. In this

special election, the slate of nominees will be restricted to the tied nominees in the first election.

b. In a run-off election those nominees receiving the largest pluralities will be elected except that

whenever a tie vote occurs with reference to the last position(s) to be filled, the Faculty Senate

will by majority vote of its total membership determine the winner.

c. If a run-off election is required, the candidates for the position(s) to be filled in that election

will be announced promptly after the initial election. A run-off election must be held within

one calendar week of the initial election. The senate elections officer will furnish the faculty

with the election results, including the number of votes received by each nominee, within three

days of the final election.

d. Any faculty member may contest an election with the Faculty Senate by notifying the person

responsible within forty-eight hours of the notification of results. All appeals must be heard

before the proper body of the senate. The disposition of all appeals must be reported to the

senate and published in the senate minutes. No election will be considered final until all

contested positions in that specific election have been acted upon and resolved.

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II. ADMINISTRATIVE STRUCTURE OF THE UNIVERSITY

2.1 The University of North Carolina

The University of North Carolina is composed of all the public institutions of higher education in

North Carolina that confer degrees at the baccalaureate level or higher. The University was

authorized by the State Constitution in 1776, and it was chartered in 1789 by the General Assembly.

The University of North Carolina opened its doors to students at Chapel Hill in 1795. Thereafter,

beginning in the latter part of the nineteenth century, the General Assembly of North Carolina

established and supported fifteen other public senior institutions in keeping with Article IX, Section

B, of the Constitution of North Carolina which provides that the “General Assembly shall maintain a

public system of higher education, comprising The University of North Carolina and such other

institutions of higher education as the General Assembly may deem wise.”

Since 1972, all 16 of those institutions have been constituent institutions of The University of North

Carolina. They are:

Appalachian State University

East Carolina University

Elizabeth City State University

Fayetteville State University

North Carolina Agricultural and Technical State University

North Carolina Central University

North Carolina State University at Raleigh

The University of North Carolina at Asheville

The University of North Carolina at Chapel Hill

The University of North Carolina at Charlotte

The University of North Carolina at Greensboro

The University of North Carolina at Pembroke

The University of North Carolina at Wilmington

The University of North Carolina School of the Arts

Western Carolina University

Winston-Salem State University

In addition to these constituent institutions, the General Assembly has established and designated

the North Carolina School of Science and Mathematics as an affiliated school of the University of

North Carolina.

Each constituent institution of the University has its own faculty and student body. The chief

administrative officer of each institution is the chancellor, and the chancellors are responsible to

the president.

Each constituent institution also has a Board of Trustees composed of thirteen members: eight

elected by the Board of Governors, four appointed by the governor, and the elected president of the

student body ex-officio. (The School of the Arts has two additional ex-officio trustees.) The

Appalachian State University Faculty Handbook • rev June 29, 2021 14

principal powers of these institutional boards are exercised under a delegation of authority from

the Board of Governors.

2.2 The Board of Governors

The UNC-Board of Governors is the policy-making body legally charged with “the general

determination, control, supervision, management, and governance of all affairs of the constituent

institutions.” It elects the president, who administers the University. The 32 voting members of the

Board of Governors are elected by the General Assembly for four-year terms. Special members are non-

voting members with varying terms. Such members are former chairs of the board, former governors,

and the president of the UNC Association of Student Governments, or that student’s designee.

2.3 The Board of Trustees

The Board of Trustees of Appalachian State University promotes the sound development of the

institution within the functions prescribed for it, helping it to serve the state in a way that will

complement the activities of the other institutions, and aiding it to perform at a high level of

excellence in every area of endeavor. The board serves as advisor to the Board of Governors on

matters pertaining to Appalachian State University and also serves as advisor to the chancellor

concerning the management and development of Appalachian State University. The powers and

duties of the Board of Trustees are primarily defined and delegated by the Board of Governors.

2.4 The Chancellor

The chancellor is the administrative and executive head of Appalachian State University and

exercises complete executive authority therein, subject to the direction of the president. The

chancellor is responsible for carrying out policies of the Board of Governors and the Board of

Trustees. As of June 30 of each year, the chancellor prepares for the Board of Governors and for the

Board of Trustees a detailed report on the operation of the institution for the preceding year. It is

also the chancellor’s specific duty and responsibility to:

(a) attend all meetings of the Board of Trustees and be responsible for keeping the Board of

Trustees fully informed on the operation of Appalachian State University and its needs;

(b) keep the president, and through the president, the Board of Governors, fully informed

concerning the operations and needs of the institution. Upon request, the chancellor is

available to confer with the president or with the Board of Governors concerning matters that

pertain to Appalachian State University;

and for the development of educational programs, subject to policies prescribed by the Board

of Governors and by the Board of Trustees;

(d) provide leadership in supporting equality of opportunity and in supporting the protections

available to members of the University community under all applicable federal laws.

2.4.1 The Chancellor’s Cabinet is an administrative advisory council appointed by the chancellor.

The members of the cabinet are:

The Provost and Executive Vice Chancellor (see 2.5)

Appalachian State University Faculty Handbook • rev June 29, 2021  15 
The Vice Chancellor of Business Affairs (see 2.4.1.1)  
The Vice Chancellor for Student Development (see 2.4.1.2) 
The Vice Chancellor for University Advancement (see 2.4.1.3)  
Chief of Staff for the Office of the Chancellor (see 2.4.1.4) 
General Counsel (see 2.4.1.5) 
Director of Athletics (see 2.4.1.6) 
Director of Human Resource Services (see 2.4.1.7) 
Director of External Affairs and Community Relations (see 2.4.1.8)  
Associate Vice Chancellor for University Communications (see 2.4.1.9)  
Executive Assistant to the Chancellor (see 2.4.1.10)  
2.4.1.1  The Vice Chancellor of Business Affairs 
The vice chancellor of business affairs is the chief business officer of the University.  The mission of 
Business Affairs is to provide the most effective and efficient accounting and budgeting of the 
University's financial resources, while also providing exemplary services that maintain the support 
necessary for the infrastructure, safety, and physical operation of the campus.  Departments 
operating under the umbrella of Business Affairs are: Budget Office, Business Systems, Centrex 
Office, Controller's Office, Food Services, Holmes Convocation Center, Materials Management, New 
River Light and Power, New York Loft, Parking and Traffic, Physical Plant, Planning, Design and 
Construction, Safety and Workers Compensation Office, Student Accounts, Sustainability Office, 
University Bookstore, University Police, and the University Post Office. 
2.4.1.2  The Vice Chancellor for Student Development  
The vice chancellor for student development reports to the chancellor and is an officer of the Univer-
sity.  It is the responsibility of this person to provide leadership and supervision for all student 
development functions of the University.  Specifically, the vice chancellor is responsible for super-
vision of all personnel within the division of Student Development, oversight of institutional 
resources allocated to enhance student development functions and to provide leadership and 
direction that enhance the quality of student life on campus.  As a member of the chancellor’s admini-
strative team, the vice chancellor works with the other vice chancellors to provide advice and staff 
support to the chancellor and the Board of Trustees.  The vice chancellor represents the University to 
external constituencies on matters related to student welfare concerns and student life issues. 
2.4.1.3  The Vice Chancellor for University Advancement 
The vice chancellor for university advancement is responsible to the chancellor for overseeing the 
design, development, and implementation of a comprehensive program for the purpose of 
increasing financial resources.  The vice chancellor systemizes and administers all campus fund-
raising policies and procedures; coordinates and approves gift proposals prior to their submissions; 
and facilitates the participation of donors, volunteers, staff, faculty, parents, and students in the 
fund-raising process. 
2.4.1.4  The Chief of Staff for the Office of the Chancellor 
The chief of staff for the office of the chancellor is senior advisor to the chancellor and responsible 
for overseeing the implementation of university-wide initiatives.  The chief of staff facilitates 
communications to and from the Office of the Chancellor; oversees the operations, personnel and 

Appalachian State University Faculty Handbook • rev June 29, 2021 16

budget of the Office of the Chancellor; serves on various internal and external committees and

boards; directs the University’s efforts with respect to economic development and engagement; and

works closely with faculty, staff and the administrative management team to ensure efficient

operation of the University and advancement of its strategic plan.

2.4.1.5 General Counsel

The mission of the Appalachian State University Office of General Counsel is to provide legal

services for the University, in pursuit of the following objectives: (1) assisting in achievement of

University goals within the framework of state and federal laws, and policies and plans adopted by

the Board of Governors, president, Board of Trustees and chancellor; (2) compliance with

applicable local, state, federal and international laws in all activities undertaken by the University;

and (3) education and training of University officers and employees to prevent or appropriately

resolve disputes affecting the University's operations. For more information see the Office of

General Counsel website.

2.4.1.6 The Director of Athletics is responsible for the overall administration and management of

the Athletics Department and is directly responsible to the chancellor.

2.4.1.7 The Director of Human Resource Services oversees all aspects of Human Resource

Services at Appalachian, including staff recruitment, wage, salary and benefits administration,

employee relations, training and development programs, personnel policies and human resources

information systems.

2.4.1.8 The Director of External Affairs and Community Relations is responsible for fostering

and maintaining relationships with local, county, state, and federal elected officials. Duties include

representing the University as liaison to the N.C. General Assembly, the UNC General

Administration Legislative Affairs Office, the U.S. Congress and federal agencies, the Watauga

County Commissioners, and Boone’s Town Council. The director also represents the chancellor at

various conferences, meetings and other forums, provides consultation and support to federally

sponsored programs, and seeks external funding for University priorities.

2.4.1.9 The Associate Vice Chancellor for University Communications oversees

communications that promote the University and its many constituents.

2.4.1.10 The Executive Assistant to the Chancellor is responsible for carrying out the policies

and initiatives of the chancellor.

2.5 The Provost and Executive Vice Chancellor

The provost and executive vice chancellor is responsible directly to the chancellor. He or she

manages the academic enterprise of the University, represents the chancellor when called upon,

and performs other duties as assigned by the chancellor. In the absence of the chancellor, the

provost and executive vice chancellor acts as chief executive officer of the University.

The duties and responsibilities of the provost and executive vice chancellor include but are not

restricted to the following. Working with the provost and executive vice chancellor in the discharge

of these duties and responsibilities are the vice provosts for academic affairs:

Appalachian State University Faculty Handbook • rev June 29, 2021 17

(a) providing leadership in initiating and encouraging continuing studies and research among the

faculty, designed to improve the curriculum and the quality of instruction. In this capacity the

provost and executive vice chancellor and the vice provosts work with the deans of the

colleges and schools, the chairs of the various departments, the associate vice chancellor for

enrollment services, and the dean of graduate studies in planning, developing, and directing

the curriculum;

(b) assisting the deans of the colleges and schools in determining the needs for instructional

personnel. On the recommendation of a departmental personnel committee and/or

departmental promotion and tenure committee, the departmental chair and the dean, and

subject to the approval of the chancellor, the provost and executive vice chancellor appoints

the members of the faculty. Upon recommendation of staff selection committees and

appropriate deans or directors, the provost and executive vice chancellor appoints

administrative staff positions in the area of academic affairs, subject to the approval of the

chancellor;

preparation of this budget, the provost and executive vice chancellor receives from the deans

of the colleges and schools a detailed description of the needs of each college and school. The

provost and executive vice chancellor and the deans discuss these needs and decide upon the

items to be included in the budgets. The vice chancellor for business affairs consolidates the

requests and submits them to the chancellor, who in turn submits the final budget requests to

the Board of Governors of The University of North Carolina. After appropriations are made

and the budget is certified and approved at the University level, the provost and executive vice

chancellor informs by memorandum each of the deans of the allocations made to their

respective areas. As emergency needs arise, the provost and executive vice chancellor and the

vice chancellor for business affairs confer to determine how the needed materials and

equipment may be purchased within the finances of the University. The provost and executive

vice chancellor also prepares annual budgets for all units reporting to academic affairs and

makes special allocations to such units as may be appropriate;

(d) coordinating and supervising the publication of such documents as the University bulletins and

companion bulletins, the Faculty Handbook, the AP&P Manual, and the schedules of classes and

examinations.

(e) participating in discussions concerning needed new buildings, the development of plans for

new buildings, and the purchase of instructional equipment for them. The provost and

executive vice chancellor, in cooperation with the Office of Business Affairs, coordinates

utilization of all instructional and related space on the campus and recommends to the vice

chancellor for business affairs needed changes in physical arrangements of instructional and

related space.

(f) cooperating with the Faculty Senate in developing agenda for meetings of the faculty. The

provost and executive vice chancellor serves as chair of the faculty and advises with the faculty

and the Faculty Senate on matters of an academic nature;

(g) assembling information and preparing reports relating to academic affairs for agencies to

which the institution is responsible;

(h) appointing such special committees of faculty, staff and/or students as are deemed necessary

for effective and efficient participation of these groups in academic and related matters; and

Appalachian State University Faculty Handbook • rev June 29, 2021 18

(i) providing leadership in supporting equality of opportunity and in supporting the protections

available to members of the University community under all applicable federal laws.

The following report to the provost and executive vice chancellor:

2.5.1 The Vice Provost for Resource Management oversees Budget Management and Position

Management.

2.5.2 The Vice Provost for Undergraduate Education (VPUE) is responsible for working with

the Appalachian community on University-wide undergraduate initiatives. The VPUE oversees:

General Education, First Year Seminar Program, Writing Across the Curriculum, University Writing

Center, Service Learning, University Forum Series, Advising and Orientation, Learning Assistance

Program, Testing Services, University Documentary Film Services, Student Research, Summer

Reading Program.

2.5.3 The Vice Provost for Faculty Policies and Development (VPFPD) works closely with

Faculty Senate, provost and executive vice chancellor, deans, associate vice chancellors and

department chairs to develop policy and best practices for faculty evaluation, academic

development initiatives, and faculty support services. The VPFPD oversees: The Faculty Handbook,

the Office of Title IX Compliance, the Office of Disability Resources, and the Center for Academic

Excellence.

2.5.4 The Vice Provost for Research (VPR) is responsible for facilitating and expanding

university-wide faculty and student-based research/creative activities and providing leadership

and vision for strategic growth of research. The VPR works collaboratively with the deans to secure

grants and contracts and to integrate efforts by University and college-level advancement to

communicate and raise private funds for research. The VPR oversees the work of campus-wide

research entities, the Office of Sponsored Programs, the Office of Research Protections and the

Office of Grants, Resources and Services and chairs the University Research Council. The VPR

works closely with Business Affairs to foster a strong relationship with the Office of Special Funds

Accounting.

2.5.5 Colleges and Schools:

Dean of the College of Arts and Sciences

Dean of the Walker College of Business

Dean of the Reich College of Education

Dean of the College of Fine and Applied Arts

Dean of the College of Health Sciences

Dean of the Hayes School of Music

Dean of the Cratis D. Williams School of Graduate Studies

Honors College

University College

2.5.6 Other units reporting to the Provost and Executive Vice Chancellor

Associate Vice Chancellor for Enrollment Services (Enrollment Management, Office of

Admissions, Office of the Registrar, and College Awareness Program)

Associate Vice Chancellor of International Education and Development

Appalachian State University Faculty Handbook • rev June 29, 2021 19

Chief Information Officer and Information Technology Services

Institutional Research, Assessment, and Planning

Dean of Libraries, Carol G. Belk Library and Information Commons

Division of Educational Outreach and Summer Programs

Faculty Senate

2.6 The Dean of a College/School

The dean of a college/school is responsible directly to the provost and executive vice chancellor.

The major responsibility of the dean of a college/school is the development and maintenance of

programs of excellence in the college/school. The dean or his/her designee is an ex officio member

of the Undergraduate Academic Policies and Procedures Committee and the Graduate Academic

Policies and Procedures Committee. The dean has general administrative oversight of all matters

affecting the strength of the college/school, and the dean’s administrative actions are consistent

with general University administrative relationships with all official bodies and personnel of the

institution. It is the duty and responsibility of the dean of an undergraduate degree granting

college/school to:

(a) coordinate the planning of proposals affecting the organizational structure of the

college/school, such as development of new departments; and participate in the nomination of

qualified departmental chairs when vacancies occur or when new departments are authorized;

(b) coordinate a vigorous recruitment program that will insure maximum effort to appoint and

retain the best qualified personnel. Receive recommendations from the departmental

personnel committee, the departmental promotion and tenure committee, and the

departmental chairs concerning appointments, promotions, salary adjustments, notices of non-

reappointment, tenure, and dismissals;

implementation of plans and programs for individual research and/or artistic endeavor,

attendance at and participation in professional organizations, leaves of absence for study and

research, and departmental appraisal of growth in professional competence and scholarship;

(d) engage departmental chairs and the council of the college/school in frequent appraisals of

objectives, procedures, strengths, weaknesses, and results of curricular programs as a basis for

improvement, including coordinating the planning of new programs leading to new majors,

concentrations, and degree programs and receiving from departmental chairs requests for

such curriculum changes for action by the council of the college/school and the appropriate

University committee(s);

(e) receive from departmental chairs budget requests necessary for the continued maintenance

and operation of the department (travel, instructional supplies and equipment, work/study

funds, and temporary wage monies). These requests will be used as a basis for final

recommendation by the dean to the provost and executive vice chancellor. Once

appropriations have been made by the provost and executive vice chancellor to each

college/school, the dean will make final judgment, after consulting with departmental chairs,

concerning the distribution of funds among the departments of the college/school;

(f) transmit instructions to departmental chairs concerning advisement, preregistration, and

registration; receive from departmental chairs schedules of course offerings; and assist the

Appalachian State University Faculty Handbook • rev June 29, 2021 20

registrar in making plans for registration. Coordinate plans for effective academic advisement

of all students within the college/school;

(g) coordinate departmental screening procedures and standards which will insure graduates of

appropriate quality; consult with departmental chairs concerning all matters having to do with

graduation requirements established by the University; and check student records to

determine eligibility of undergraduates for graduation and certification;

(h) coordinate the assignment of classroom space and facilities among departments and plan for

capital improvements. Hold periodic inspection of all college/school facilities with the

departmental chair as a basis for reporting the quality of maintenance to the vice chancellor

for business affairs;

(i) preside at meetings involving the faculty of the college/school and appoint ad hoc committees

to study special problems affecting the college/school. Prepare periodic reports and keep the

provost and executive vice chancellor fully informed of the state of affairs within the

college/school and carry out any duties assigned by the provost and executive vice chancellor;

(j) receive from departmental chairs requests from faculty members to be absent from duty; and

(k) provide leadership in supporting equality of opportunity and in supporting the protections

available to members of the University community under all applicable laws;

2.7 The Dean of the Cratis D. Williams School of Graduate Studies

The dean of the Cratis D. Williams School of Graduate Studies (Graduate School) reports directly to

the provost and executive vice chancellor and is a full voting member of the university Deans

Council. The dean (a) is the administrative officer of the Graduate School, and (b), in consultation

with the respective college deans, has general supervisory responsibilities over all graduate

programs at the University. The dean evaluates candidates and makes appointments to the

Graduate Faculty, and the dean or the dean’s delegate interviews candidates for graduate faculty

positions.

The dean, with support from the Graduate School staff and the associate dean for graduate studies,

will:

(a) have responsibility for the financial management of the Graduate School;

(b) promote and seek academic excellence for all graduate studies. In doing so, the dean

administers the program of graduate education developed by the department and/or program

faculty with the advice and consultation of the Graduate Academic Policies and Procedures

Committee. This includes oversight of graduate program review, analysis of curricula, and

monitoring national trends in graduate education;

recruitment and ending with graduation, which include, receipt of applications for graduate

study, evaluation of transcripts and results of standardized examinations, approval of

applicants for admission following recommendation by departmental and/or program faculty,

and evaluation of programs-of-study and thesis/dissertation committee assignments;

(d) offer student orientation sessions, and personal and professional development opportunities

for graduate students such as graduate teaching assistant workshops, showcase opportunities

Appalachian State University Faculty Handbook • rev June 29, 2021 21

for graduate student research, and workshops on various topics such as responsible conduct of

research/ethics, preparation of theses, etc.;

(e) administer financial support for graduate students including assistantships, out-of-state/in-

state tuition scholarships, thesis/dissertation research grants, and various scholarships and

fellowships;

(f) in conjunction with appropriate units on campus, investigate matters involving ethical

concerns as they relate to graduate students;

(g) assume final responsibility for any publications and the website of the Graduate School

including the Graduate Bulletin;

(h) be a major advocate for research/scholarly activity at Appalachian State University;

(i) foster graduate faculty development;

(j) seek and support diversity across the Graduate School;

(k) represent the Graduate School internally and externally, ensure positive external relations, and

lead Graduate School development efforts;

(l) lead strategic planning for the Graduate School;

(m) establish and maintain a collegial environment with clear communications that promotes

shared governance.

2.8 The Departmental Chair

Departments are integrally related to their colleges and to the total University and at the same time

are separate units with viable and justifiable functions all their own. A given department must,

therefore, be well organized to function properly within the full life of the academic community and

within its own special commitment.

Each department must provide the setting in which competent persons are able to realize their

professional capabilities and make their most creative contributions to their students, colleagues,

and society. Members of the department should experience freedom, have the power to articulate

goals, and accept accountability to themselves, to others, and to the scholarly discipline in which

they work.

The department has an appointed chair with the general responsibility for guiding the department

toward selected goals. It is the specific responsibility of the chair to:

(a) participate in the development of University policies and be responsible for their

communication and implementation at the department level;

(b) communicate the needs of the department (personnel, space, fiscal) to the appropriate

administrative units;

munity, to appropriate external agencies, and at meetings of learned and professional societies;

(d) prepare an annual report to the chancellor in consultation with the faculty of the department;

(e) provide leadership in the recruitment and appointment of faculty members;

Appalachian State University Faculty Handbook • rev June 29, 2021 22

(f) arrange effective and equitable distribution of faculty responsibilities, including:

(i) teaching duties and committee assignments within the department;

(ii) evaluate and counsel with all departmental faculty members concerning the performance

of their duties;

(g) encourage and support good teaching, scholarly activity, and professional development within

the department;

(h) initiate, in consultation with the appropriate faculty committee recommendations for

appointment, reappointment, promotion, tenure, and dismissal in accordance with the

University and college policy;

(i) endeavor to maintain faculty morale by reducing, resolving, or preventing conflicts;

(j) make salary recommendations in accordance with University and college guidelines;

(k) organize and coordinate the departmental faculty and staff in developing, implementing and

evaluating short and long-range departmental goals, objectives, standards, and programs;

(l) work with the faculty to develop standards, curricula, and procedures, which provide adequate

preparation of graduates for professional or further academic endeavor;

(m) provide for appropriate advisement of students majoring in the department;

(n) provide leadership in supporting equality of opportunity and the protections available to

members of the University community under all applicable laws;

(o) manage the departmental resources, including the budget, in accordance with college and

University guidelines;

(p) participate in planning capital improvements and maintenance of physical facilities;

(q) endeavor to secure and maintain adequate supplies, materials, and equipment for the

department;

(r) supervise the departmental support staff; and

(s) lead full departmental meetings (with the exception of PTC meetings) and ensure that formal

agendas be sent out ahead of time and that minutes be approved at the next departmental

meeting.

Faculty directors and coordinators of programs/centers who have faculty direct reports shall

follow all of the above applicable guidelines for department chairs.

2.9 The Departmental Assistant Chair

If a department has an assistant chair, that person will receive an initial term of up to three years in

accordance with the departmental assistant chair policy. Subsequent terms may be approved in

accordance with the departmental assistant chair policy. Review of the assistant chair will follow

the departmental assistant chair policy.

Every department with an assistant chair must develop a departmental assistant chair policy,

approved by the department, specifying how this position will be filled, evaluated for effectiveness,

reviewed, renewed, and dismissed (see Article II, Section 2 of the Faculty Constitution).

Appalachian State University Faculty Handbook • rev June 29, 2021 23

It is the general responsibility of the assistant chair to work with the department chair to guide the

department toward its goals.

It is the specific responsibility of the assistant chair to:

(a) represent the departmental chair in the chair’s absence;

(b) serve as the departmental representative on University Committees as needed. Provide faculty

with another level of administrative communication;

chair’s responsibilities;

(d) The departmental chair, as determined by the departmental assistant chair policy, may assign

other duties.

2.10 The Departmental Graduate Program Director

If a department has a graduate program director, that person will receive an initial term of two or more

years in accordance with the departmental graduate program director policy. Subsequent terms may

be approved in accordance with the departmental graduate program director policy. Review of the

graduate program director will follow the departmental graduate program director policy.

Every department with a graduate program director must develop a departmental graduate

program director policy, approved by the department, specifying how this position will be filled,

evaluated for effectiveness, reviewed, renewed, and dismissed (see Article II, Section 2 of the

Faculty Constitution).

It is the general responsibility of the graduate program director to work with the departmental

chair, graduate faculty, and the graduate school to guide the department toward its goals.

The graduate program director is the main liaison with the graduate school and is responsible for

ensuring that key tasks are completed in a timely manner. It is the general responsibility of the

graduate program director to work with the departmental chair and graduate faculty to guide the

department toward its goals.

2.11 The Departmental Undergraduate Program Director

If a department has an undergraduate program director, that person will receive an initial term of

two or more years in accordance with the departmental undergraduate program director policy.

Subsequent terms may be approved in accordance with the departmental undergraduate program

director policy. Review of the undergraduate program director will follow the departmental

undergraduate program director policy.

Every department with an undergraduate program director must develop a departmental

undergraduate program director policy, approved by the department, specifying how this position

will be filled, evaluated for effectiveness, reviewed, renewed, and dismissed (see Article II, Section 2

of the Faculty Constitution).

Appalachian State University Faculty Handbook • rev June 29, 2021 24

It is the general responsibility of the undergraduate program director to work with the

departmental chair and faculty to guide the department toward its goals.

2.12 The Faculty Director or Coordinator of a Program, Center, or University

Libraries

The faculty director or coordinator of any academic program, center, or University Libraries who

has faculty direct reports or who coordinates instruction by the faculty, within or outside an

academic department, must be evaluated under a policy, developed and approved by the

department, program, and/or center faculty, along with the direct supervisor of the director or

coordinator, specifying how this position will be filled, evaluated, reviewed, renewed, and

dismissed. The annual review will be conducted by the direct supervisor of the faculty director or

coordinator. In addition, faculty directors/coordinators of programs/centers who have faculty

direct reports shall follow the guidelines listed for department chairs in section 2.8.

Appalachian State University Faculty Handbook • rev June 29, 2021 25

III. Faculty Rights and Responsibilities

3.1 Equality of Opportunity

Appalachian State University is committed to providing equal opportunity in education and

employment to all applicants, students, and employees. The University does not discriminate in

access to its educational programs and activities, or with respect to hiring or the terms and

conditions of employment, on the basis of race, color, national origin, religion, sex, gender identity

and expression, political affiliation, age, disability, veteran status, genetic information or sexual

orientation. The University actively promotes diversity among students and employees.

3.2 Freedom and Responsibility in the University Community

3.2.1 Appalachian State University is dedicated to the transmission and advancement of

knowledge and understanding. Academic freedom is essential to the achievement of these

purposes. This institution therefore supports and encourages freedom of inquiry for faculty

members and students, to the end that they may responsibly pursue these goals through teaching,

learning, research, discussion, and publication, free from internal or external restraints that would

unreasonably restrict their academic endeavors.

3.2.2 Appalachian State University shall protect faculty and students in their exercise of the

freedom to teach, to learn, and otherwise to seek and speak the truth.

3.2.3 Faculty and students of this institution shall share in the responsibility for maintaining an

environment in which academic freedom flourishes and in which the rights of each member of the

academic community are respected.

3.3 Academic Freedom and Responsibility of Faculty

3.3.1 It is the policy of Appalachian State University to support and encourage within the law full

freedom of inquiry, discourse, teaching, research, and publication for all members of the academic

staff of this institution. Members of the faculty are expected to recognize that accuracy,

forthrightness, integrity, and dignity befit their association with this institution and their position

as men and women of learning. They should not represent themselves, without authorization, as

speaking for Appalachian State University.

3.3.2 Appalachian State University will not penalize or discipline members of the faculty because of

the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and

professional interest and responsibility. All members of the faculty, whether tenured, untenured, or

non-tenure track, have the protection of academic freedom.

3.4 Primacy of Academic Governance over Academic Curriculum and

Instruction

Since the basic mission of the University is the instruction of students, the procedures for

curriculum modification are most important and should be clear. This statement is being issued in

order to clarify this important area.

Appalachian State University Faculty Handbook • rev June 29, 2021 26

The basic and most important unit in determining curricula is the academic department.

Departments recommend their own departmental courses and programs after careful

consideration by the faculty of that department. All departments should develop and implement

plans for involving students in academic governance at the departmental level.

3.4.1 Any proposal for changes in a department’s courses or programs must first be acted upon by

the department before being submitted to the college advisory council. Any proposal for changes

(excluding course changes within existing programs) in a college’s or school’s programs or

structures must first be acted upon by the faculty of the college or school concerned before being

presented to the Undergraduate Academic Policies and Procedures Committee and/or the Graduate

Academic Policies and Procedures Committee. After a proposal for curricular or structural change

has been acted upon by a college or school and after the dean of that college or school has

submitted the proposal to all other necessary groups, the dean or the dean’s designee will then

present the proposal to the Undergraduate Academic Policies and Procedures Committee and/or

the Graduate Academic Policies and Procedures Committee.

3.4.2 Recommendations for changes in general academic policies or academic programs must be

submitted to the Undergraduate Academic Policies and Procedures Committee and/or the Graduate

Academic Policies and Procedures Committee by any of the following:

a. Department, program, college or school

b. Faculty Senate

c. Student Government Association

d. Graduate Student Association Senate

e. Council of Deans

f. Council of Chairs

A faculty member, student, or ad hoc faculty or student group will channel proposals through the

appropriate body above (a., b., or c.).

3.4.3 The Undergraduate Academic Policies and Procedures Committee and the Graduate

Academic Policies and Procedures Committee are, in most circumstances, the final recommending

bodies to the provost and executive vice chancellor and the chancellor. The faculty members and

the students on these committees serve as the representatives for the faculty and students,

respectively. As such, these groups should make their respective views known through their

appointed representatives and should make arrangements for their respective representatives to

be held accountable to them.

3.4.4 If a proposal for changes in a department’s courses or programs is not approved by that

department, then the group initiating the proposal may appeal (within 90 days after rejection) first

to the advisory council of the college to which that department belongs. If the proposal is also

rejected by the college or school, then the group may appeal (as above) to the Undergraduate

Academic Policies and Procedures Committee and/or the Graduate Academic Policies and

Procedures Committee.

When a departmental proposal is not recommended at the college advisory council level, the

department may appeal to the Undergraduate Academic Policies and Procedures Committee and/or

the Graduate Academic Policies and Procedures Committee.

Appalachian State University Faculty Handbook • rev June 29, 2021 27

3.5 Professional Ethics

3.5.1 Faculty members, guided by a deep conviction of the worth and dignity of the transmission

and advancement of knowledge, recognize the special responsibilities placed upon them. Their

primary responsibility is to seek and to state the truth as they see it. To this end, they are expected

to devote their energies in the development and improvement of their scholarly competencies.

They are expected to accept this obligation of exercising responsible and critical self-discipline and

judgment within the boundaries of the law in using, extending, and transmitting knowledge. They

are expected to practice intellectual honesty. Although they may follow subsidiary interests, these

interests must never seriously hamper or compromise either their own freedom of inquiry or that

of their colleagues and students.

3.5.2 As teachers, faculty members encourage the free pursuit of learning in all students, holding

before them the best scholarly standards of their discipline. They are expected to demonstrate

respect for the student and to adhere to their proper roles as intellectual guides and counselors.

They make every reasonable effort to foster honest academic conduct and to attain a conscientious

and fair evaluation of students. They respect the confidential and ethical nature of the relationship

between professor and student. They are expected to avoid scrupulously any exploitation of

students for their personal advantage and should apprise themselves of state and federal

regulations governing such matters as sexual harassment and religious proselytizing. They

acknowledge significant assistance from their students and protect their academic freedom.

3.5.3 As colleagues, faculty members have obligations that derive from common membership in

the community of scholars. They respect and defend within the boundaries of the law the free

inquiry of their associates. In the exchange of criticism and ideas, they show due respect for the

opinions of others. They avoid conflicts of interest, acknowledge their academic debts, and strive

for objectivity in their professional judgment of colleagues. They are expected to accept their share

of faculty responsibility for the governance of the institution.

3.6 Integrity in Scholarship and Scientific Research

3.6.1 Introduction

Integrity in research is the basis for the academic search for knowledge. Persons involved in

academic research must guard the truth and protect the public trust that research in an academic

environment has long held. Activities that interfere with an honest search for the truth cannot be

tolerated in a university setting. All effort must be made to maintain an open and honest search for

truth through continual commitment by faculty, staff, and students to scrupulous honesty and

integrity in research.

It is clear that scientific and scholarly misconduct cannot be prevented completely by a university

policy or federal law; it can only be avoided through each individual’s firm commitment to

academic ideals and honesty. The importance of such honesty in one’s research work should be

impressed upon all members of the university community by those responsible for conducting or

directing research and scholarship projects. Only in this way can the university community

effectively guard the truth and maintain traditions of intellectual honesty.

Appalachian State University Faculty Handbook • rev June 29, 2021 28

3.6.2 Policy Statement

In the belief that honesty and integrity are essential to the search for knowledge, it is the policy of

Appalachian State University that all persons involved in research and scholarship must guard the

truth, uphold the highest standards in their research and scholarship, and protect the public trust that

the academic environment has long held. Whenever any Appalachian faculty member, graduate

student, or other research employee is accused of serious misconduct in scientific or scholarly

research, the University will conduct an inquiry, make a determination concerning the truth or falsity

of the allegations, and take appropriate disciplinary action. The process of inquiry will be expeditious

and protect the rights of all those concerned, including the complainant and the accused.

3.6.3 Definition of Research Misconduct

Since the search for knowledge is impeded and subverted by the misrepresentation of facts,

openness and honesty are commonly accepted norms within the scientific and scholarly community

for proposing, conducting, or reporting research. “Research misconduct” means plagiarism,

falsification, fabrication of data, or other forms of deliberate misrepresentation. It does not include

honest error or honest differences in interpretations or judgments of data.

3.6.4 Initiation of Inquiry

Allegations of research misconduct involving faculty members, graduate students, or staff should be

directed to the vice provost for research. The vice provost will confidentially counsel any individual

who comes forward with an allegation of research misconduct since some concerns or allegations

may not fall within the scope of policies and procedures developed to address research misconduct.

If the vice provost determines that the concern is properly addressed through policies and

procedures designed to deal with misconduct in research, these procedures should be discussed

with the individual questioning the integrity of a research project. If the individual chooses not to

make a formal allegation, but the vice provost believes there is sufficient cause to warrant the

inquiry, the matter should be pursued without a complainant and the vice provost should so inform

the provost and executive vice chancellor.

When the subject of the inquiry is a graduate student, the case will be reviewed by the vice provost

for research, and the policies and procedures prescribed in the Appalachian State University Code

of Academic Integrity for students will apply in the resolution of pending charges. Should the

subject of the inquiry be faculty or other staff members, the vice provost in consultation with the

provost and executive vice chancellor will determine whether an inquiry is warranted.

3.6.5 Inquiry

During the inquiry, confidentiality will be maintained to protect the rights of all parties involved.

Respondent(s) may be accompanied by an observer of their choosing on three working days’

written notice to the committee. If the respondent(s) chooses an observer(s), the committee may

be accompanied by an observer of its choosing. Unless otherwise agreed, observers may not take

part in the discussion between the respondent(s) and the committee. Observers may not be

present as attorney for either party. Because confidential personnel file information may be

discussed at the inquiry, the respondent(s) and any observers must sign an Observer Waiver. This

document includes the respondent(s) authorization of the observer(s) to hear such confidential

information, and commits the observer(s) to maintain the confidentiality of such information unless

the respondent subsequently authorizes disclosure. It may be desirable to keep the identity of the

complainant confidential during the inquiry phase. The vice provost for research will assume

Appalachian State University Faculty Handbook • rev June 29, 2021 29

responsibility for disseminating information relevant to the inquiry to the appropriate individuals.

Normally, this will be in writing with copies filed in the Office of the Provost.

At the interview, on three working days’ written notice to the committee, the respondent(s) may be

accompanied by an observer of their choosing. If the respondent chooses an observer, the

committee may be accompanied by an observer of its choosing. Unless otherwise agreed, observers

may not take part in the discussion between the respondent(s) and the committee. Observers may

not be present as attorney for either party. Because confidential personnel file information may be

discussed at the interview, the respondent and any observers must sign an Observer Waiver. This

document includes the respondent’s authorization of the observer(s) to hear such confidential

information, and commits the observer(s) to maintain the confidentiality of such information unless

the respondent subsequently authorizes disclosure.

Completion of the inquiry is marked by the determination of whether or not an investigation is

warranted. The inquiry committee will provide the vice provost for research a written report that

summarizes the process and states the conclusion of the inquiry. This report will be delivered

within sixty (60) calendar days from the inquiry committee’s receipt of an allegation. The

respondent will be informed whether or not there will be further investigation and, if there is a

complainant, he or she will also be informed.

Allegations found to require investigation will be forwarded promptly to the investigative body; if

federal funding is involved, the agency sponsoring the research will be notified at this point.

If an allegation is found to be unsupported but has been submitted in good faith, no further formal

action, other than informing all involved parties, will be taken. The proceedings of an inquiry,

including the identity of the respondent, will be held in strict confidence to protect the parties

involved. Documentation of each inquiry shall be maintained by the vice provost for research for a

period of three (3) years from the date of the report. To the extent required by federal law, copies

shall be provided to authorized personnel of federal agencies sponsoring research upon request. If

confidentiality is breached, the institution will take steps to minimize the damage to reputations

that may result from inaccurate reports. Allegations that have not been brought in good faith will

lead to disciplinary action. The institution will seek to protect the complainant against retaliation;

individuals engaging in acts of retaliation or breaching confidentiality will be disciplined.

3.6.6 Investigation

An investigation will be initiated within 30 calendar days after an inquiry concludes that such is

warranted. The purpose is to further explore the allegations and determine whether misconduct

has been committed and, if so, the degree of its seriousness. In the course of an investigation,

additional information may emerge that justifies broadening the scope of the investigation beyond

the initial allegations. The respondent will be informed when significant new directions of

investigation are undertaken. The investigation will focus on accusations of research misconduct as

defined previously and examine the factual materials of each case.

3.6.7 Structure

To carry out the investigation, the vice provost for research will form an investigative committee by

expanding the inquiry committee to include two additional tenured faculty and at least one

representative from outside the University. In selecting the members of the committee, conflicts of

interest must again be examined scrupulously and any relationship with parties to the matter must

Appalachian State University Faculty Handbook • rev June 29, 2021 30

be fully disclosed. Those inquiring into the allegations will be selected in full awareness of the

closeness of their professional or personal affiliation with the complainant or the respondent. It is

also important that the committee have appropriate expertise to assure a sound knowledge base

from which to work.

3.6.8 Process

Upon receipt of inquiry findings that an investigation is warranted, the vice provost for research

will initiate an investigation promptly (ordinarily, within 30 days) and the complainant and

respondent will be notified of the investigation. In accordance with federal regulations, all agencies

sponsoring a research project in which misconduct is suspected will be notified immediately upon

the decision to undertake an investigation. All involved parties will be interviewed and are

obligated to cooperate with the proceedings in providing information relating to the case. All

necessary information will be provided to the respondent in a timely manner to facilitate the

preparation of a response.

If the nature of the allegations is such that there may be need to protect the health and safety of

research subjects, or the interests of students and colleagues, or to protect federal funds and ensure

that the purposes of federal financial assistance are being carried out, the vice provost for research

may take interim administrative action to restrict or suspend the activities of the respondent, but

care should be taken to safeguard the rights of the respondent.

Investigations normally will be completed within sixty (60) days of initiation. If factors such as the

volume and nature of the research to be reviewed and the degree of cooperation being offered by

the subject of the investigation prevent completion within sixty (60) days, an interim report

describing the investigation up to that point and its expected outcome, and requesting an extension,

will be filed with the vice provost for research at the end of sixty (60) days. Any reasonable

indication of possible criminal violations shall be reported to the Office of Research Integrity, Public

Health Service, or other appropriate federal agency, within 24 hours after receipt of such

information by the vice provost for research. Such information also shall be forwarded through

appropriate channels to the chancellor. In addition, the vice provost shall promptly inform the

Office of Research Integrity or other appropriate federal agency of any facts discovered during the

course of the investigation that may affect then current or potential federal funding for the

individual(s) under investigation or that such agency needs to know to ensure appropriate use of

federal funds or otherwise protect the public interest.

3.6.9 Findings

A report which thoroughly documents the investigative process and the findings of the investigative

committee will be submitted in writing to the vice provost for research. The respondent will

receive the full report of the investigation, as will the dean of the respondent’s college. When there

is more than one respondent, each shall receive all those parts of the findings that are pertinent to

his or her role. Respondents may comment in writing on the report and their comments will be

made part of the record. The vice provost shall forward a copy of the report to all federal agencies

initially informed of the investigation. Documentation of each investigation shall be maintained by

the vice provost in a confidential and secure file for a period of at least three (3) years from the date

the investigative committee’s report is delivered to the Public Health Service or other appropriate

federal agencies.

Appalachian State University Faculty Handbook • rev June 29, 2021 31

Investigations into allegations of research misconduct may result in various outcomes, including (1) a

finding of clear, serious, and substantial research misconduct; (2) a finding of research misconduct of

a minor or questionable nature; (3) a finding that no culpable conduct was committed, but serious

scientific errors were made; (4) a finding that no research misconduct or serious scientific error was

committed. If a finding of serious scientific misconduct is made, all agencies funding that research

will be informed to the extent required by federal law. Examples of severe research misconduct

include fabrication of data, plagiarism, including the publication of research or scholarship produced

by another person, and falsification of vita items in order to advance one’s research.

If an investigation has been launched on the basis of a complaint, and no research misconduct is

found, no disciplinary measures will be taken against the complainant and every effort will be made

to prevent retaliatory action against the complainant if the allegations, however incorrect, are

found to have been made in good faith. If the allegations are found to have been maliciously

motivated, disciplinary actions will be taken against those responsible.

3.6.10 Disposition

The nature and severity of the disciplinary action by the University will vary with the findings of the

investigative committee. At this point, the vice provost for research will inform the chancellor,

provost and executive vice chancellor, and dean of the respondent’s college of the investigative

committee’s findings. Disciplinary action shall be taken in accordance with appropriate respective

policies and procedures applicable to each respondent’s classification. Should the respondent(s) be

found guilty of research misconduct of a clear, serious, and substantial nature, he/she/they may be

considered unfit to continue as employees or students of Appalachian State University.

Respondents found guilty of research misconduct of a less clear, serious, or substantial nature may

receive sanctions ranging from letters of reprimand to probation, permanent removal from the

research project involved and/or other sanctions deemed appropriate under the circumstances.

Findings of scientific misconduct may also warrant the removal of a faculty respondent from

graduate advisory committees or other research supervisory roles.

3.6.11 Appeal

Respondents may appeal disciplinary actions in accordance with respective policies and

procedures applicable to each respondent’s classification.

3.6.12 Publication

Copies of this policy shall be transmitted to all faculty and academic administrators or otherwise

published at least annually.

3.7 Academic Tenure

Academic tenure refers to the conditions and guarantees that apply to a faculty member’s

employment. More specifically, it refers to the protection of a faculty member against discharge

from employment except for reasons of (i) incompetence, (ii) neglect of duty, or (iii) misconduct of

such a nature as to indicate that the individual is unfit to continue as a member of the faculty, as

specified in Code Section 603 and in accordance with the procedures provided in section 4.10, or

against termination of employment except as provided for in section 4.9. (The overall policy for

academic tenure in the UNC system is found in the UNC Code 602.)

Appalachian State University Faculty Handbook • rev June 29, 2021 32

3.7.1 The purposes intended to be served by providing the protection of academic tenure to faculty

members are to secure their academic freedom and to help the institution attract and retain faculty

members of high quality. While academic tenure may be withheld on any grounds other than those

specifically stated to be impermissible in section 3.7.3, its conferral requires the assessment that

the candidate has met the criteria for the rank of associate professor as specified in 3.8.6.2.

Promotion or appointment to the rank of professor confers permanent tenure (3.8.6.6 and 3.8.7.3)

and requires the assessment that the candidate has met the criteria for the rank of professor

(3.8.7.2.).

3.7.2 The Faculty Handbook criteria for the conferral of tenure shall be the basis for each academic

department’s criteria for conferral of tenure, and both Faculty Handbook and departmental criteria

shall be considered in all tenure decisions. Departmental criteria may be more rigorous than

Faculty Handbook criteria.

The conferral of tenure requires:

(a) an assessment of the faculty member’s demonstrated professional competence;

(b) potential for future contributions;

(d) the needs and resources of the institution.

3.7.3 A decision not to grant tenure may not be based upon (1) the faculty member’s exercise of

rights guaranteed by either the First Amendment to the United States Constitution or Article I of the

North Carolina Constitution, (2) unlawful discrimination based upon the faculty member’s race,

color, national origin, religion, sex, gender identity and expression, political affiliation, age,

disability, veteran status, genetic information or sexual orientation; or (3) personal malice. For

purposes of this section, the term “personal malice” means dislike, animosity, ill will, or hatred

based on personal characteristics, traits or circumstances of an individual that are not relevant to

valid University decision making. See UNC Policy 101.3.1 II.B. (4.6.1)

3.7.4 Academic tenure, as herein described, pertains exclusively to the employment of faculty

members by appointment to specified faculty ranks. Appalachian State University requires the

doctorate or other appropriate earned terminal degree for consideration of the conferral of

permanent tenure on any faculty member, unless there are exceptional circumstances.

3.8 Tenure-Eligible Academic Ranks

3.8.1 The University shall require the doctorate or other appropriate earned terminal degree for all

full-time faculty appointments above the rank of instructor, unless there are exceptional

circumstances. Appointments may be for fixed terms of employment, automatically terminable when

they expire (“fixed-term appointment”); or they may be for probationary terms (“probationary-term

appointment”); or they may be continuous (“appointment with permanent tenure”) until retirement,

death, resignation, or dismissal pursuant to The Code of The University of North Carolina.

3.8.2 No reviewing person or committee substitutes its judgment for the judgment of the

departmental chair, a search committee, and/or the departmental personnel committee or the

departmental promotion and tenure committee on matters relating to the professional

qualifications of the individual involved [i.e., the individual’s ability to fulfill adequately the

Appalachian State University Faculty Handbook • rev June 29, 2021 33

professional requirements of the position. However, in accordance with The Code of The University

of North Carolina, section 602(4), those charged with making decisions on initial appointment,

reappointment, promotion and permanent tenure shall examine and evaluate “demonstrated

professional competence” (i.e., the faculty member’s actual performance), the faculty member’s

potential for future contribution, and institutional needs and resources.]

3.8.3 The faculty ranks to which appointments may be made, the minimal criteria that a candidate

must meet in order to be eligible for consideration for the various ranks, and the incidents of

academic tenure applicable to each rank are set forth in sections 3.8.4 through 3.8.7. The Faculty

Handbook criteria for ranks shall be the basis for each academic department’s criteria, and both

Faculty Handbook and departmental criteria shall be considered in all appointment, reappointment,

promotion, and tenure decisions. Departmental criteria may be more rigorous than Faculty

Handbook criteria. Changes to the departmental requirements for promotion and tenure shall be

made in a meeting of the tenure-eligible and tenured academic faculty.

3.8.3.1 A faculty member appointed to the tenure-track as an assistant professor, or as an associate

professor without tenure, may elect to be evaluated under either their department’s current criteria

for promotion and tenure or the criteria that were in effect at the time of hire.

3.8.3.2 A faculty member seeking promotion to the rank of professor may elect to be evaluated

under either their department’s current criteria for promotion or the criteria that were in effect at

the time that the candidate for promotion was tenured and promoted to the rank of associate

professor or appointed with tenure at the rank of associate professor. Should the candidate take

more than five years from the date of initial eligibility to seek promotion to the rank of professor

(Please refer to Section 3.8.7), they will then be bound by the department’s criteria that are

currently in effect.

3.8.4 Instructor

3.8.4.1 See The University of North Carolina Policy Manual, section 400.3.1.1 concerning required

discussions relating to the primacy of teaching.

3.8.4.2 Minimal criteria for consideration of appointment to the rank of instructor are:

(a) a master’s degree from an accredited institution in an appropriate field or special

competencies in lieu of the master’s degree; and

(b) evidence of potential in teaching; and

(i) research or other germane creative activity; or

(ii) professional service to the University and/or to the public.

3.8.4.3 The rank of instructor is appropriate for one who is appointed to the faculty but lacks,

when appointed, one or more qualifications expected by the department or college/school for

appointment to professorial rank. When all of those qualifications are met, the instructor may be

promoted to assistant professor, offered a terminal appointment of one academic year, or be

offered a special faculty appointment. (See section 3.13)

3.8.4.4 An initial appointment to the rank of instructor is for a probationary term of one academic

year. The instructor may be reappointed successively for six terms of one academic year, a total of

Appalachian State University Faculty Handbook • rev June 29, 2021 34

seven such terms. At least ninety (90) calendar days before the first term of appointment ends, the

instructor shall receive written notice whether, when the current term expires, the instructor will

be reappointed at rank for another term, promoted to the rank of assistant professor, appointed to

a special faculty appointment as provided in section 3.13, or not be reappointed. An instructor

appointed to a second one-year term shall receive a similar notice not less than 180 calendar days

before that term ends. During the last 180 calendar days of the second consecutive year of

employment, the institution may notify the instructor that employment will be terminated at the

end of the third year of employment. Before the end of the third consecutive term, an instructor

who has not been notified that employment will be ended in that year as provided in the preceding

sentence shall receive a written notice whether, when the current term expires, the instructor will

be reappointed at rank, promoted to the rank of assistant professor for a four-year term, appointed

to a special faculty appointment as provided in section 3.13, of at least a one-year duration, or

offered a terminal appointment of one academic year at the end of the current term. Decisions shall

be made with respect to these same options before the end of the fourth, fifth, and sixth consecutive

term. No reappointment to the rank of instructor may be made after seven consecutive years of

employment at that rank (but see also section 3.13, “Special Faculty Appointments”). The failure to

give the required notice of a decision not to reappoint at any point herein required has the same

effect as a decision at that time to offer a terminal appointment of one academic year at the same

rank. The decisions herein required shall be made as provided in section 4.4.

3.8.4.5 Nothing in these regulations shall be construed to preclude a faculty member from seeking

and being recommended for promotion at any time.

3.8.5 Assistant Professor

3.8.5.1 See The University of North Carolina Policy Manual, section 400.3.1.1, concerning

required discussions relating to the primacy of teaching.

3.8.5.2 Minimal criteria for consideration of appointment/promotion to the rank of assistant

professor are:

(a) the appropriate earned terminal degree from an accredited institution, unless there are

exceptional circumstances;

(b) demonstrated ability in teaching;

(d) willingness to participate in institutional affairs and professional service to the University

and/or to the public.

3.8.5.3 An initial appointment to the rank of assistant professor is normally for a probationary

term of four academic years. Before the end of the third year of the four-year probationary term,

the assistant professor shall receive written notice whether, when the current term expires, she or

he will be reappointed at that rank for a second probationary term of three years or not be

reappointed.

3.8.5.4 Before the end of the second year of the three-year term as assistant professor, the

assistant professor shall receive written notice whether she or he will be reappointed with

permanent tenure at the higher rank or not be reappointed.

Appalachian State University Faculty Handbook • rev June 29, 2021 35

3.8.5.5 If a faculty member begins employment between January 1 and May 15, the partial

academic or calendar year shall not count as part of the probationary period.

3.8.5.6 The departmental chair and an assistant professor candidate must negotiate any credit for

service elsewhere to be granted toward tenure and promotion at the time of the offer. The

candidate may submit to her or his departmental chair a written request (with appropriate

supporting documentation) that up to, but no more than, three years served elsewhere in a tenured

or tenurable position (or in an equivalent position) may be counted toward tenure and promotion

at Appalachian State University. Following review of materials and consultation with the

departmental promotion and tenure committee, the chair will make a recommendation to the dean,

and the dean will make a recommendation to the provost and executive vice chancellor. The final

decision, which shall rest with the provost and executive vice chancellor, shall be made on the basis

of the verified documentation provided and shall be irrevocable. Any service credited toward

tenure and promotion must be specified in the letter of offer at the time of hire and included in the

provisions of the initial contract.

3.8.5.7 If one year of service elsewhere is counted, the initial contract will be for a probationary

term of three years. Before the end of the second year of the first three-year term, the assistant

professor shall receive written notice whether, when the current term expires, she or he will be

reappointed at the same rank for a second probationary term of three years or not be reappointed.

Before the end of the second year of the second three-year term as assistant professor, the assistant

professor shall receive written notice whether she or he will be reappointed with permanent

tenure at the higher rank or not be reappointed.

3.8.5.8 If two years of service elsewhere are counted, the initial contract will be for a probationary

term of three years. Before the end of the second year of the three-year term, the assistant

professor shall receive written notice whether, when the current term expires, she or he will be

reappointed at the same rank for a second probationary term of two years or not be reappointed.

Before the end of the first year of the two-year term as assistant professor, the assistant professor

shall receive written notice whether she or he will be reappointed with permanent tenure at the

higher rank or not be reappointed.

3.8.5.9 If three years of service elsewhere are counted, the initial contract will be for a

probationary term of four years. Before the end of the third year of the four-year term, the

assistant professor shall receive written notice whether she or he will be reappointed with

permanent tenure at the higher rank or not be reappointed.

3.8.5.10 The probationary service with respect to permanent tenure of a faculty member who has

been granted a leave or course-load reduction under the terms of section 6.2.1.1 (g) shall be

calculated in accordance with the provisions of that section. The calculation of probationary

service in such circumstances shall be automatic, and no request for such calculation need be made

by the faculty member.

3.8.5.11 A faculty member may submit to her or his departmental chair a written request for a

determination that extraordinary circumstances warrant not counting a specific academic year as

part of the faculty member’s probationary period with respect to permanent tenure. Any such

request should be submitted as soon as practicable, but in no event later than ninety (90) calendar

days following the close of the academic year in which the circumstances occurred. The

departmental chair shall submit the request to the departmental promotion and tenure committee

Appalachian State University Faculty Handbook • rev June 29, 2021 36

for review and recommendation; and, upon receipt of the departmental promotion and tenure

committee’s recommendation, the departmental chair shall forward that recommendation along

with the departmental chair’s recommendation to the dean. The dean shall in turn forward her or

his recommendation to the provost and executive vice chancellor, who shall make a determination

whether extraordinary circumstances warrant not counting the specified academic year as part of

the faculty member’s probationary period with respect to permanent tenure.

3.8.5.12 The total time not counted toward a faculty member’s probationary period with respect

to permanent tenure (see sections 3.8.5.11, 3.8.5.13, and 6.2) may not exceed two academic years.

3.8.5.13 An Assistant Professor who has demonstrated exceptional performance by exceeding

departmental criteria during their probationary period may request review for promotion to

Associate Professor with tenure one year earlier than the mandatory year (see 3.8.5.14). An

Assistant Professor must request review for promotion and tenure at the same time. If the

Assistant Professor is granted promotion to Associate Professor and tenure, the action shall become

effective at the beginning of the next fiscal year. If the Assistant Professor is unsuccessful in his/her

review, he/she may request review in the following, mandatory year.

3.8.5.14 An Assistant Professor must be considered for tenure during his or her sixth year if he or

she has not been granted tenure earlier (3.8.5.13) Under no circumstances should the length of the

probationary period exceed seven years of full-time service except when the probationary period

has been extended according the provisions of 3.8.5.10, 3.8.5.11, and/or 6.2.

3.8.5.15 The failure to give the required notice of a decision not to reappoint at any point herein

required has the same effect as a decision at that time to offer a terminal appointment for one aca-

demic year at the same rank. The decisions herein required shall be made as provided in section 4.4.

3.8.6 Associate Professor

3.8.6.1 See The University of North Carolina Policy Manual, section 400.3.1.1, concerning required

discussions relating to the primacy of teaching.

3.8.6.2 Minimal criteria for consideration of appointment/promotion to the rank of associate

professor are:

(a) the appropriate earned terminal degree from an accredited institution, and at least five (5)

years of appropriate experience, unless there are exceptional circumstances;

(b) recognized skill in teaching;

(d) recognized accomplishment in professional service to the University and/or to the public; and

(e) demonstrated willingness to participate in institutional affairs.

3.8.6.3 An initial appointment to the rank of associate professor may be with tenure or for a

probationary term of up to five academic years. The length of this initial appointment takes into

account credit toward tenure and promotion for service elsewhere.

3.8.6.4 If a faculty member begins employment between January 1 and May 15, the partial

academic or calendar year shall not count as part of the probationary period.

3.8.6.5 If an associate professor candidate is not appointed with tenure, the departmental chair

and the candidate must negotiate any credit for service elsewhere to be granted toward tenure at

the time of the offer. The candidate may submit to her or his departmental chair a written request

Appalachian State University Faculty Handbook • rev June 29, 2021 37

(with appropriate supporting documentation) that up to, but no more than, three years served

elsewhere in a tenured or tenurable position (or in an equivalent) may be counted toward tenure

and promotion at Appalachian State University. Following review of materials and consultation

with the departmental promotion and tenure committee, the chair will make a recommendation to

the dean, and the dean will make a recommendation to the provost and executive vice chancellor.

The final decision, which shall rest with the provost and executive vice chancellor, shall be made on

the basis of the verified documentation provided and shall be irrevocable. Any service credited

toward tenure and promotion must be specified in the letter of offer at the time of hire and included

in the provisions of the initial contract.

3.8.6.6 The probationary service with respect to permanent tenure of a faculty member who has

been granted a leave or course-load reduction under the terms of section 6.2.1.1 (g) shall be

calculated in accordance with the provisions of that section. The calculation of probationary

service in such circumstances shall be automatic, and no request for such calculation need be made

by the faculty member.

3.8.6.7 A faculty member may submit to her or his departmental chair a written request for a