Chapter Two: All Faculty

2.0 Employment Policies for All Faculty

Faculty employment policies are under the purview of the Board of Visitors.

The Board of Visitors holds the authority to approve all faculty appointments. This authority has been delegated to university officials for certain types of new appointments, generally including non-tenure positions and restricted appointments.

Final approval by the Board of Visitors is required for new appointments of instructional and research faculty members on the tenure-track or continued appointment-track, including those appointed with tenure or continued appointment; faculty ranked athletic personnel; senior administrators (such as deans and vice presidents) and their direct reports; and administrative and professional faculty members reporting directly to the president and their direct reports.

The Board of Visitors annually approves a faculty compensation plan, which is prepared using parameters provided by the commonwealth’s secretary of education in the Consolidated Salary Authorization for Faculty Positions in Institutions of Higher Education. In accordance with the Consolidated Salary Authorization, the faculty compensation plan provides information about the promotion and tenure process; the annual evaluation and salary adjustment process for teaching and research (T&R) faculty, administrative and professional (A/P) faculty, and research faculty; salary adjustments within the evaluation period, and the pay structure.

All faculty are required to report annually on their research and scholarship, creative works, teaching, Extension, outreach, and service activities, as applicable. Guidance on annual faculty reports is provided by department, college, or administrative unit, as appropriate. Submission of a faculty activity report (FAR) may be required for consideration for a merit adjustment.

2.1 General Faculty and Faculty Categories

The general faculty is composed of those faculty members outside the classified and university staff personnel system who are appointed to carry out the learning, discovery, and engagement programs of the university; conduct general university administration; or provide academic support to those programs.

Appointments to the general faculty may be made for which there is no presumption or consideration of renewal. Such appointments are called “restricted” and should be so designated.

The General Faculty is comprised of five categories for the purposes of applying faculty policies especially those related to promotion and tenure or continued appointment.

Tenure-track, tenured, instructional faculty not on the tenure-track, research and Extension faculty are referred to as Teaching and Research (T&R) faculty, although the duties of research and Extension faculty may have a small instructional component, and non-tenure-track instructional faculty may have a small to no research component.

• College Faculty: tenure-track and tenured faculty, instructional faculty not on the tenure-track
• University Libraries Faculty
• Extension Faculty
• Administrative and Professional (A/P) Faculty
• Research Faculty

College Faculty: Tenure-Track and Tenured Faculty, and Instructional Faculty not on the Tenure-track

The college faculties are composed of tenured and tenure-track faculty and instructional faculty not on the tenure-track, with full- or part-time positions in academic departments or schools. (Subsequent references to departments or schools within a college are subsumed in this handbook under the word “department.”)

Faculty members who relinquish full-time responsibilities in a college department or school to assume responsibilities elsewhere at the university may choose to continue to have their professional development evaluated by that department or school, and college. The same is true for someone who accepts a position in the University Libraries faculty, Extension faculty, or in the administrative and professional faculty. Evaluation for promotion and/or tenure is done according to academic department or school, college, and university expectations and guidelines. A merit salary adjustment is based on the responsibilities of the current position.

Tenure-Track and Tenured Faculty
Ranks: assistant professor, associate professor, professor

Tenure-track and tenured faculty typically require a terminal degree and are appointed to regular positions. Employment policies and procedures for tenure-track and tenured faculty are in chapter three of this handbook.

2.1.3 Instructional Faculty not on the Tenure-track
Ranks: assistant professor, associate professor, professor

College faculty may also be instructional faculty not on the tenure-track appointed to regular or restricted positions. Employment policies and procedures for faculty not on the tenure-track are described in chapter five of this handbook.

Track	Ranks
Instructor	instructor, advanced instructor, senior instructor
Visiting or Adjunct Professor	visiting/adjunct assistant professor, visiting/adjunct associate professor, visiting/adjunct professor
Professor of Practice	assistant professor of practice, associate professor of practice, professor of practice
Clinical Faculty	clinical instructor, clinical assistant, clinical associate, clinical professor
Collegiate Professor	collegiate assistant professor, collegiate associate professor, collegiate professor
Lecturer	administrative and professional faculty

2.1.4 University Libraries Faculty including Continued-Appointment Track
Ranks: assistant professor, associate professor, professor

Employment policies and procedures for University Libraries faculty with continued appointment or on the continued appointment-track are in chapter four of this handbook. University Libraries faculty may or may not hold appointment in a college. They perform a unique and indispensable function in the educational process and share many of the professional concerns of their college colleagues. The university recognizes the need to protect the academic freedom of librarians in their responsibility to ensure the availability of information and ideas, no matter how controversial, so that teachers may freely teach, and students may freely learn.

The rank held by a University Libraries faculty member does not imply a particular rank in any college department. University Libraries faculty may hold concurrent adjunct status in a college department to formally recognize their contributions to the undergraduate or graduate program. Guidelines for University Libraries faculty can be found on the libraries website.

2.1.5 Extension Faculty

Employment policies and procedures for Extension faculty with continued appointment or on the continued appointment track are in chapter fourteen of this handbook. Extension faculty not on the tenure-track or continued appointment track are administrative and professional (A/P) faculty and covered by polices in chapter seven.

Track	Ranks
Extension Agent	associate Extension agent, Extension agent, senior Extension agent
Extension Specialist	associate Extension specialist, Extension specialist, senior Extension specialist    There are two types of Extension specialists: any faculty member with Virginia Cooperative Extension funding who is on the tenure-track, or A/P faculty member(s) with Virginia Cooperative Extension funding.
4-H Center Program Director	associate 4-H center program director, program director, senior program director
Continued Appointment	assistant professor, associate professor, professor

Extension faculty may or may not hold an appointment in an academic college. They are, nonetheless, subject to high professional standards in the dissemination of knowledge through the Virginia Cooperative Extension programs and in the planning and delivery of educational programs and programs of assistance to industries and local governmental agencies. In these functions, Extension faculty share many of the professional concerns of their college colleagues, including the need for the protection of academic freedom in these responsibilities.

The rank held by a faculty member in Extension does not imply a particular rank in any college department. Extension faculty may hold concurrent adjunct status in a college department to formally recognize their contributions to the undergraduate or graduate program.

2.1.6 Administrative and Professional (A/P) Faculty
Rank: lecturer

Employment policies for administrative and professional (A/P) faculty are described in chapter seven of this handbook. A/P faculty may or may not hold an appointment in an academic college. Policies regarding the assignment of a faculty rank in a college department for an administrative or professional faculty member are in chapter seven.

2.1.6.1 Administrative Faculty

Administrative faculty are senior administrators and typically serve in executive-level leadership roles such as vice president, dean, assistant or associate vice president or dean, or director of a major unit. They perform work directly related to management of the university, college, or an administrative department. Administrative faculty may have a rank other than lecturer, may hold an academic rank in a college department or school, and may be tenured or be on a continued appointment.

2.6.6.2 Professional Faculty

Professional faculty are managers and professionals and may direct or provide support for academic, administrative, Extension, outreach, athletic, or other programs. They work in information technology, budget or finance, human resources, public relations, development, and architectural or engineering functions. Promotion is recognized by salary adjustment and/or a change in functional title rather than promotion in faculty rank.

2.1.7 Research Faculty

Faculty designated to promote and expedite university research activities and those who have responsibilities primarily in the research area are considered research faculty. Research faculty are typically employed on sponsored grants and contracts on a restricted appointment to carry out research or outreach projects.

Employment policies for research faculty, including affiliated research faculty, are described in chapter six of this handbook.

Track	Ranks
Research Professor	research assistant professor, research associate professor, research professor
Research Associate	research associate, senior research associate
Research Scientist	research scientist, senior research scientist
Postdoctoral Associate	postdoctoral associate

2.2 The Faculty of Health Sciences

The Faculty of Health Sciences (FHS) promotes continued growth, improvement, and integration in biomedical and health sciences research and educational programs at Virginia Tech. The FHS serves as an organizational home for (a) faculty members who are appointed to it due to their research, teaching, outreach, and/or administrative accomplishments and responsibilities, and (b) interdisciplinary graduate programs in biomedical and health sciences. Faculty appointed to the FHS must have a graduate or professional degree in a relevant discipline.

Faculty appointments to the FHS are term (fixed period) appointments, ranging from one to five years, and are renewable without limit with the agreement of all appropriate parties. The FHS does not award tenure. A faculty member employed by Virginia Tech must have a primary appointment in a senior management unit, college or school, institute, or vice-presidential unit. Faculty members employed at other institutions who wish to be appointed to the FHS must have an adjunct or affiliated appointment in a Virginia Tech senior management unit, college or school, institute, or vice-presidential unit.

2.2.1 Leadership of the Faculty of Health Sciences

The provost appoints the vice president of health sciences and technology to lead the Faculty of Health Sciences. The vice president reports directly to the provost. The vice president enhances health science- related work across the university; leads efforts to develop curriculum, research, and engagement at the intersection of health sciences and technology; expands interdisciplinary graduate programs in biomedical and health sciences; leads an internal advisory group that advises the senior leadership on new strategic directions and promising funding opportunities; and leads and facilitates coordination of clinical, research, and educational relationships internally and with external institutions.

2.2.2 Types of Appointments to the Faculty of Health Sciences

The vice president of health sciences and technology establishes a selection process for faculty appointments to the FHS, selection is based on research, teaching, outreach, and/or administrative contributions to Virginia Tech’s biomedical and/or health sciences initiatives. The selection process involves an evaluation of the individual’s application and a recommendation to the provost. The provost makes the final decision and informs the individual of the outcome of the application by letter.

Appointments to the FHS may be made in any faculty category, with rank determined by qualifications. The usual title is [rank] of health sciences. Appointment to the FHS is a secondary title at the existing rank for current Virginia tech Faculty members. Qualifications for appointment within each rank are described in the appropriate chapter in this handbook. Faculty members with adjunct or affiliated appointments may be appointed using an unqualified title (assistant professor, associate professor, professor) followed by “of health sciences,” as the FHS does not award tenure and service in this role is not tenure-earning.

2.3 The Faculty of the Virginia Tech Carilion School of Medicine

Faculty members at the Virginia Tech Carilion School of Medicine (VTCSOM) are of two types: faculty employed by the university or faculty employed by other entities (in most cases Carilion Clinic). At all times, regardless of employer, faculty members providing instruction, academic support, or performing academic duties or roles as a VTCSOM faculty member are governed by the university’s policies and procedures.

The VTCSOM initiates, defines, and contracts for professional services requested from a Virginia Tech faculty member. The contract may be for a buyout of the faculty member’s time through a sponsored project, or the faculty member may be paid directly through overload (wage) compensation. The payment mechanism reflects the level of time commitment, the ability of the department to release the faculty member from current assignments, and the needs of both Virginia Tech Carilion School of Medicine and the faculty member’s department at Virginia Tech.

As part of its commitment to partnership, Virginia Tech provides faculty mentorship of medical student research projects without additional compensation or buyout.

Faculty members employed by the university and whose appointment is in a college other than the VTCSOM are eligible for appointment in the VTCSOM. The dean of the VTCSOM administers a process for the selection and appointment of faculty members. The process includes coordination and agreement with the faculty member, the appropriate department head, chair, school director, or supervisor, and the dean of the faculty member’s college. A recommendation is made to the provost who makes the final decision and communicates the decision to all parties. Appointments may be made in any faculty category with rank determined by qualifications. The usual title is (rank) of (discipline), for faculty members employed by the university this is a secondary title at the existing rank. Adjunct or affiliated faculty members may be appointed using an unqualified title (assistant professor, associate professor, professor) followed by the appropriate disciplinary designation (e.g., pediatrics). Faculty members employed by the university and with tenure-track or tenured appointments external to the VTCSOM earn or retain tenure in their primary department and college. Faculty members employed by the university are not eligible for tenure-to-title in the VTCSOM.

Payments made to Virginia Tech faculty members are made through an approved Virginia Tech payroll mechanism. Virginia Tech faculty members may not hold a private consulting contract with Virginia Tech Carilion School of Medicine since this would violate the Virginia Conflict of Interests Act.

2.3.1 Faculty Buyout Agreements with Virginia Tech Carilion School of Medicine

A buyout of a college faculty member’s time is appropriate when the professional services requested are of longer duration and/or exceed 20 percent of the faculty member’s time (more than one day per week, for example). A buyout may also be used in the context of shorter duration commitments if determined to be in the best interest of Virginia Tech Carilion School of Medicine, the Virginia Tech department, and the faculty member. Buyouts work as any other sponsored project buyout, releasing salary savings to the department and/or college to hire behind as needed, and requiring approval by the department head, chair, school director, or supervisor, and dean.

2.3.2 Faculty Overload Payment Agreements with Virginia Tech Carilion School of Medicine

Overload or wage payments that are made directly to the faculty member are appropriate for short duration and/or occasional professional services rendered to Virginia Tech Carilion School of Medicine (usually up to 20 percent time or one day per week). The rate of payment is established by the Virginia Tech Carilion School of Medicine as a general rate of compensation or in individual negotiation with the faculty member.

Faculty members may earn up to 33⅓ percent of their current salary through all overload wage payments, including the Virginia Tech Carilion School of Medicine, Continuing and Professional Education, or other authorized special wage payments during the period of their Virginia Tech contract. Faculty on 10-, 11-, or 12-month research extended appointments may also earn up to this limit as overload compensation during their contract period.

Summer pay from all Virginia Tech sources (e.g., summer school, funded research paid as wages, Virginia Tech Carilion School of Medicine, etc.) for nine-month faculty members may not exceed 33⅓ percent of the prior academic year salary.

Contracts for professional service to the Virginia Tech Carilion School of Medicine paid as overload compensation may not exceed the current time limitations defined in the consulting policy, which is one day per week or five days in a five-week period. Time limitations also include the accumulation of other types of authorized special or external activity, including Continuing and Professional Education and consulting. University policies on conflict of commitment set the expectation that a faculty member’s primary professional responsibility is to the university.

Overload agreements and payments require approval of the department head, chair, school director, or supervisor, and dean. In lieu of salary compensation, a faculty member may choose to receive an equivalent contribution to an operating allocation in support of professional activities.

2.4 Faculty Search Processes

Faculty recruitment and search processes are available on the Human Resources Faculty Recruiting Guidelines page. These processes apply to all types of full-time, regular, faculty positions. Search exemptions may be approved under specified circumstances.

Upon approval of the position by the dean, vice president, or designee, search processes include:

• The establishment of a representative search committee.
• The development of a tailored, aggressive search strategy that usually includes national advertising in appropriate journals in the discipline.
• Personal contacts with colleagues.
• Follow up with women and underrepresented colleagues and doctoral students listed in relevant directories.
• Targeted efforts to identify a strong and diversified pool of candidates.

Prior to selecting candidates for interview, the chair of the search committee reviews the diversity and strength of the candidate pool with the dean, vice president, or designee, who makes a judgment as to whether additional recruitment efforts should be made. Documentation of the approval of the candidate pool should be noted in the university’s recruitment and onboarding system. The committee reviews applications once a representative pool is established or recruitment strategies are exhausted. A limited number of candidates are usually invited for on-campus interviews. Prior to making an offer, the department head, chair, school director, or supervisor reviews the search and interview process with the dean, vice president, or designee.

For appointments with tenure or continued appointment, review and recommendation by the applicable departmental promotion and tenure committee or continued appointment committee is sought before a decision is made to extend to a candidate a firm offer that includes the granting of tenure or continued appointment, or the award of a rank higher than assistant professor. An offer of faculty appointment with tenure may be made with the review and approval of the department head, chair, school director, or supervisor and the department promotion and tenure committee, the dean, a university promotion and tenure subcommittee, the provost, and the president.

2.4.1 Equitable Searches

It is the policy of Virginia Tech to provide equal opportunity for all qualified individuals while rejecting all forms of prejudice and discrimination. Virginia Tech does not discriminate against employees, students, or applicants on the basis of age, color, disability, sex (including pregnancy), gender, gender identity, gender expression, genetic information, national origin, political affiliation, race, religion, sexual orientation, or military status; or otherwise discriminate against employees or applicants who inquire about, discuss, or disclose their compensation or the compensation of other employees or applicants; or any other basis protected by law. For inquiries regarding non-discrimination policies, contact the Office for Equity and Accessibility at 540-231-2010.

Virginia Tech is committed to ensuring that all qualified individuals with disabilities can take part in educational and employment programs and services on an equal basis. The aim is to provide this opportunity in an integrated setting that fosters independence and meets the guidelines of the Americans with Disabilities Act (ADA) and the Rehabilitation Act of 1973. Reasonable accommodations are made on an individual and flexible basis.

Virginia Tech is committed to increasing the number of women and underrepresented faculty and administrators. This commitment is stated and elaborated in the affirmative action program, Executive Order 11246, and other documents filed with federal and state officials. All recruitment and search processes and procedures are designed to ensure that searches are conducted affirmatively resulting in greater faculty diversity.

2.4.2 Terms of Faculty Offer (TOFO)

New appointments and reappointments are documented in the terms of faculty offer (often referred to as a “TOFO”) prepared by the department head, chair, school director, or supervisor and approved according to procedures established by the dean or senior manager, signed by the candidate, and forwarded to Human Resources within the university’s recruitment and onboarding system. Templates for the different types of terms of faculty offer are accessed by authorized users of the university’s recruitment and onboarding system.

The TOFO documents the category to which the faculty member is appointed (see “chapter two General Faculty and Faculty Categories”) such as tenure-track or tenured, instructional faculty not on the tenure-track, University Libraries faculty (continued appointment-track or continued appointment), Extension faculty (continued appointment-track or continuing appointment), administrative and professional (A/P) faculty, or research faculty. The TOFO also documents the faculty rank, appointment status (effective date, regular or restricted and, if restricted, an end date), the appointment period (academic year (AY) or calendar year (CY), length of the appointment, and other conditions relevant to the employment offer. If the appointment is tenure-track or continued appointment- track, reference to prior service credit should be addressed, if relevant (as described in chapter three). The TOFO documents terms and conditions of employment contained in this handbook.

The terms of faculty offer for a restricted appointment must state the length of the appointment. In cases where there is no expected opportunity for continuation, the terms of faculty offer document also serves as a notice of termination. Continuation of a restricted appointment, even during the specified appointment period, is subject to the availability of funds, the need for services, and satisfactory performance. This information is included in the terms of faculty offer. Related letters of offer or reappointment should not contain promises that the hiring unit is unable to keep; the university looks to the department to make good on defaults. The department head, chair, school director, or supervisor’s approval is required before an offer is extended.

See chapter six (Research Faculty) for new appointments and reappointments for research faculty including postdoctoral associates. Appointments to postdoctoral associate positions require approval from the Office for Research and Innovation.

2.5 Search and Appointment of Administrative and Academic Leaders

2.5.1 Search and Appointment of the President

The Board of Visitors establishes the procedures for the selection of a president when the vacancy is announced. Per the Code of Virginia, the Board of Visitors must solicit the input of the institution's faculty senate or its equivalent regarding the search for candidates for the position of chief executive officer of the institution at a public or private venue.

2.5.2 Search and Appointment of Executive Vice President and Provost, Executive Vice President and Chief Operating Officer, and Administrative Vice Presidents

When a vacancy occurs, the president determines the procedures that will be used for identifying qualified candidates, including the decision to engage a search firm and/or to appoint a university search or screening committee.

Where the position involves considerable interaction with college faculty, significant engagement of faculty members in the search and/or interview process is desirable and expected.

2.5.3 Search and Appointment of Academic Deans and Academic Vice Presidents

When a vacancy occurs, the provost determines the procedures that will be used for identifying qualified candidates. The provost requests nominations for membership on a search committee from the appropriate faculty members and/or faculty association. The provost appoints a search committee from the list of nominees and may appoint additional members who shall constitute a minority of the committee. When a vacancy occurs in an academic deanship that has university responsibility spanning colleges and other academic units, the search committee shall include faculty representatives from all appropriate colleges.

The provost or designee serves as chairperson of the search committee. Ordinarily a national search is conducted.

After the qualifications of candidates are reviewed, references and colleagues of the best qualified candidates are consulted. A limited number of candidates are invited to visit the university. The search committee, representative of department heads, chairs, or school directors, academic deans, the vice presidents, and the president interview the candidates. Candidates also meet with selected students and faculty members. The committee must provide internal candidates with fair opportunities to make their qualifications equally well known.

The provost seeks advice from those who meet with the candidates and seeks agreement with the search committee on the candidate(s) to be recommended. The provost’s recommendation is made to the president, who authorizes the extension of an offer.

2.5.4 Search and Appointment of Academic Associate and Assistant Deans

When a vacancy occurs in the position of associate dean, assistant dean, or assistant to the dean, and the position does not involve responsibility for assignment of faculty activities or recommendations on salaries and promotions, it is filled on recommendation by the dean to the provost and the president. Department heads, chairs, school directors, and representative faculty should be consulted; a formal search committee is formed if the appointment is not limited to an internal promotional opportunity. If the position involves responsibility for assignment of faculty activities or recommendations on salaries and promotions, the search and selection procedures are like those used for deans, and the dean serves as chairperson of the search committee.

2.5.5 Search and Appointment of Department Heads, Chairs, and School Directors

When a vacancy occurs, the college dean requests that the department or school nominate members of its faculty for a search committee. The dean appoints the committee from among those nominated and may appoint additional members who shall constitute a minority of the committee.

The committee elects its chair and meets with the college dean to determine appropriate conditions of the position, such as rank and available resources. The dean should share with the search committee a realistic assessment of the college and university’s commitment to the department and its programs.

The position is nationally advertised unless the dean and the committee agree that the position should be considered a promotional opportunity restricted to candidates from within the department without national advertisement. Such a decision should be reached only for a department that has the capacity to afford several well-qualified candidates from within its ranks. The decision may be influenced by the lack of a vacant faculty position in the department.

After the qualifications of candidates are reviewed, references and colleagues of the best qualified candidates are consulted. A limited number of candidates (ordinarily three) are invited, on approval of the college dean, to visit the university. The search committee, the college dean, and university officials, as available and appropriate, interview the candidates. Candidates also meet with selected students and faculty members i. The committee must provide internal candidates with fair opportunities to make their qualifications equally well known.

The search committee seeks advice from those who meet with the candidates and makes its recommendations on the preferred candidate(s) to the college dean. After extensive consultation with the department or school faculty, the dean recommends the appointment of the department head, chair, or school director to the provost.

2.6 Appointment Types

2.6.1 Regular Appointments

Regular appointments are renewable term appointments with a presumption or consideration of reappointment. Regular appointments include “probationary,” “tenure-track, tenured” or “continued appointment-track/continued appointment” appointments. Year-by-year appointments of administrative and professional (A/P) faculty are also regular appointments.

2.6.2 Restricted Appointments

Appointments to the faculty may be made for which there is no presumption or consideration of renewal. Such appointments are called “restricted” and should be so designated, with a specified term/fixed period (start and end dates) in the terms of faculty offer (TOFO). Restricted appointments are commonly made in the cases of research faculty employed to work on projects with external funding, visiting or adjunct professorships, and other temporarily available faculty positions.

When a person on a restricted appointment is to be continued, a formal reappointment TOFO is required and should be issued prior to the end of the existing contract. The reappointment contract restates the conditions of the appointment. Any changes should be made explicit. If a salary increase is approved, it should be part of the reappointment contract. The reappointment contract requires the prior approval of the department head, chair, school director, or supervisor, dean, and the office of the provost. Appointments to postdoctoral associate positions require approval from the Office for Research and Innovation.

Faculty members on restricted appointments earn sick leave at the rate of five hours per pay period under the policy that was standard for all faculty members before September 1, 1981. Sick leave does not extend beyond the date of termination of appointment. Faculty members on calendar year restricted appointments earn annual leave at the same rate as faculty on regular appointments but earned annual leave must be taken during the term of appointment; accrued annual leave will not be paid on termination of appointment. Restricted faculty who are eligible to earn annual and sick leave may carry over their unused balances to the next leave year; however, the unused leave is not paid out upon separation.

2.6.3 Academic Year Appointments (AY)

The department head, chair, school director, supervisor, or dean extends, in writing, new faculty appointments and renewals of term (fixed period) appointments using the terms of faculty offer (TOFO) document. Most faculty appointments in the academic units of the university are for the nine-month academic year; these are called academic year (AY) appointments. While the payroll dates for the academic year are August 10 through May 9, faculty are expected to be available two weeks prior to the first day of classes and two weeks following commencement. No annual leave is awarded within the academic year, but the discretion of the department head, chair, school director, or supervisor is recognized in assigning duties during periods when the university is not in session. Faculty members are expected to be available for work during such periods.

Although the annual salary assigned for an academic year appointment covers only the academic year, the salary is paid in 24 semi-monthly installments over the calendar year, with payment occurring on the first and sixteenth day of each month. (If that day of the month falls on a Saturday, the payment is made on the preceding Friday; if Sunday, the payment is made on the following Monday.) Payment is deposited directly to the faculty member’s bank or financial establishment.

Faculty members whose appointments are for only part of the academic year receive a pro rata portion of the annual salary. Details of the faculty compensation plan are available from Human Resources.

Faculty members on academic year appointments whose employment with the university ceases at the end of the academic year, or any academic term, may request (with proper notice) that all remaining installments of their earned salary be paid on the next available payroll after Human Resources has been notified and employment has ceased.

2.6.4 Research Extended Appointments for Faculty on Academic Year Appointments

Under certain conditions, faculty members on academic year appointments may extend their base nine- month appointment to a 10-, 11-, or 12-month appointment reflecting the faculty member’s sponsored research responsibilities.

Academic year faculty with approved research extended appointments may earn and accrue annual leave proportional to their appointments. Faculty members with one, two, or three months of sponsored funding are strongly urged to convert their nine-month appointment to a 10-, 11-, or 12-month research extended appointment, which entitles them to earn and use annual leave and to have the summer pay included as creditable compensation for retirement purposes in accordance with university policies. Unused annual leave will not be compensated at the time of reconversion or separation.

Faculty members requesting a research extended appointment complete the request form available on the provost’s Research Extended Appointments page. The requesting faculty member must provide documentation for the additional months of funding. Requests for research extended appointments require approval of the department head, chair, school director, supervisor, dean (or appropriate administrator), and the executive vice president and provost or the executive vice president and chief operating officer (or their designee).

Research extended appointments are renewed annually with verification of sponsored funding by the department head, chair, school director, or supervisor to support the continuation. The continuation request form is also available on the provost’s Research Extended Appointments page.

Information regarding employment policies and practices for research faculty is available in chapter six of this handbook.

2.6.5 Calendar Year Appointments (CY)

Some faculty members have been assigned responsibilities that extend throughout the calendar year, largely independent of the academic calendar. Such faculty members are on a calendar year (CY) appointment with work assignments covering the full 12 months except for periods of annual leave. The kinds of positions that may call for calendar year appointments include department heads, chairs, school directors, administrative and professional faculty, and research faculty.

Faculty members who assume calendar year appointments while serving as a department head, chair, school director, or other administrative role retain the calendar year appointment only for the duration of the assignment. Upon returning to an instructional faculty position in a department or school characterized by academic year appointments, the faculty member resumes an academic year appointment with a corresponding adjustment in salary. (Instructional faculty who were on calendar year appointments prior to assuming the administrative assignment usually resume their prior calendar year appointment and salary upon completion of the administrative assignment.)

Conversions of appointment from academic year to calendar year or the reverse (or to any other appointment period acceptable under university policy) are done in accordance with standard formulas approved by the executive vice president and provost or executive vice president and chief operating officer. Any exception requires approval by the executive vice president and provost or the executive vice president and chief operating officer, depending upon the reporting structure.

2.6.6 Summer and Winter Session Appointments

The total of additional compensation earned through all university sources by any faculty member shall not exceed 33⅓ percent of the annual salary for the preceding academic year.

No summer or winter appointments, outside of the usual job responsibilities, are made without the consent of the faculty member involved.

Academic Year (AY) Appointment. Faculty members on academic year (AY) appointments may receive additional compensation for engaging in approved sponsored research, Extension activities, summer, and winter session teaching and, as allowable, non-credit, or eligible for-credit instruction conducted by Continuing and Professional Education or teaching an eligible for-credit continuing education course on overload (refer to 2.15.2 and 2.15.3 for additional information on Continuing and Professional Education). The total additional compensation earned through all university programs by any faculty member on an academic year appointment shall not exceed 331/3 percent of the annual salary for the preceding academic year.

Calendar Year (CY) Appointment. Faculty members on calendar year (CY) appointments may receive additional compensation for Extension activities, and/or summer and winter session teaching that is not considered part of their usual job responsibilities and, as allowable, non-credit, or eligible for-credit instruction conducted by Continuing and Professional Education (refer to 2.15.2 and 2.15.3).

2.6.6.1 Summer Session Appointments

Faculty members on academic year (AY) appointment may be invited by the department head, chair, school director, or supervisor to teach one or more courses in summer session.

Faculty on calendar year (CY) appointments may be invited by the department head, chair, school director, or supervisor to teach one or more courses in summer session for additional compensation provided that the course(s) are not considered part of their usual job responsibilities.

For purposes of sponsored grant and contract activity and for limitations on compensation May 10 to August 9 designates the summer work period. Faculty members who receive summer salary from sponsored projects must certify the effort expended on those projects during the summer period. Work on a sponsored project during the academic year for which compensation is then provided during the summer is specifically prohibited by federal regulations. Summer pay for sponsored projects is only justified by appropriate effort expended on the project during the summer period.

Only academic year faculty members who have approved research extended appointments earn and accrue annual leave proportional to their appointments. Faculty members with one, two, or three months of sponsored funding are strongly urged to convert their nine-month appointment to a 10-, 11-, or 12-month research extended appointment, which entitles them to earn and use annual leave and to have the summer pay included as creditable compensation for retirement purposes in accordance with university policies. Alternatively, the faculty member can charge less than one, two, or three months of full-time salary to the sponsored project (or other sources as appropriate) and take uncompensated leave for the remainder of the summer in order to have vacation.

2.6.6.2 Winter Session Appointments

Winter Session is not considered part of the instructional year. Faculty members on academic (AY) or calendar year (CY) appointments may be invited by the department head, chair, school director, or supervisor to teach courses in Winter Session

The faculty member receives overload payment for teaching a Winter Session for-credit course. Compensation for teaching in the session is negotiated by the faculty member and the department head, chair, or school director. Maximum compensation is set at 3.75 percent of the faculty member’s annual salary for each one-credit semester course taught. An additional incentive grant may be negotiated up to a maximum of one month’s salary. Additional compensation, including overload and any incentive grant is considered in the total allowable aggregate compensation of no more than 33⅓ percent of annual salary from the preceding academic year.

2.6.6.3 Winter and Summer Session Appointments for A/P Faculty

Appropriately credentialed administrative and professional (A/P) faculty who are qualified for instruction may teach during the summer and winter session with approval of their department head, chair, school director or supervisor. Guidelines set forth in Policy 4071, “Policy for Staff Employed to Teach For-Credit Courses,” and Policy 4072, “Teaching Credit Classes and Overload Compensation for Administrative and Professional Faculty Members,” apply.

2.6.7 Emeritus or Emerita Designation

The title of emeritus or emerita is conferred on retired Virginia Tech faculty members as defined in Faculty Handbook, chapter two who have made exemplary contributions to the university and are recommended to the Board of Visitors for approval by the provost and president.

All nominations for emeritus or emerita designation should, through a draft resolution for the Board of Visitors, describe the faculty member’s exemplary contributions and academic citizenship across any of Virginia Tech’s mission areas of teaching, research or creative activity, and engagement. These contributions may, for example, be demonstrated through teaching awards, leadership or extensive service in transformative university initiatives, especially impactful community engagement, or evidence of national or international distinction. The expectation and desire is that emeritus/emerita faculty will have ongoing engagement with Virginia Tech, however, in some instances the emeritus/emerita designation may be conferred as a recognition of past contributions to Virginia Tech, without an expectation of continued engagement.

For college faculty, emeritus or emerita nominations may be initiated by the faculty member’s department head, chair, school director, or senior academic administrator in consultation with the faculty member. Consistent with processes for faculty honorifics, each college should have formal procedures for the nomination and appointment of faculty to emeritus or emerita status that include review by a college honorifics committee or promotion and tenure committee. After review by the appropriate college committee the college dean makes recommendations for approval by the provost, who then reviews and makes a recommendation to the president and the Board of Visitors.

For A/P faculty, nominations may be initiated by the faculty member’s supervisor or other senior administrator, in consultation with the faculty member. After review by the A/P Faculty Senate Elections and Nominations Committee, the A/P Faculty Senate President makes recommendations to either the provost or to the executive vice president and chief operating officer (EVPCOO) for A/P faculty who do not work in academic affairs. The provost or EVPCOO, as appropriate, reviews the nomination and makes a recommendation to the president. All recommendations for emeritus or emerita status are forwarded by the president to the Board of Visitors for their consideration and approval.

Note: Procedures for emeritus or emerita nominations will be outlined on the provost’s website, and will include such things as a nomination form, sample resolution(s), sample letter(s) that confirm review and support of the nomination by the college honorifics committee and dean; or, for A/P faculty, a letter confirming the review and support for the nomination by the A/P Faculty Senate Elections and Nominations Committee.

2.7 Documentation of U.S. Citizenship or Lawful Authorization to Work in the United States

In accordance with federal law, on the first day of their employment, new employees must provide documentation of U.S. citizenship or lawful authorization to work in the United States.

2.8 Conviction and Driving Record Investigation for Employment

The university conducts a conviction and/or driving record investigation once a contingent offer is made to the selected candidate, according to the provisions in Policy 4060, “Conviction and Driving Record Investigation for Employment.” Human Resources coordinates the conviction and driving record investigation process.

A preliminary offer may be made to the selected candidate, contingent upon the results of the investigation. However, at no time should the selected candidate be allowed to begin work before the investigation process is complete.

2.9 University-Sponsored Applications for Permanent Residency

Virginia Tech welcomes the contributions of scholars from all over the world in carrying out its learning, discovery, and engagement missions. Employer-sponsored applications for permanent residency assure the international scholar’s ongoing involvement in the life of the university and the work for which the employee was hired. To receive Virginia Tech sponsorship, all of the following conditions must be met:

• The position must have the potential to be ongoing with successive renewals over a period of several years. For positions funded from sponsored grants or contracts, the supporting unit must demonstrate a record of sustained external funding.
• The individual’s appointment must be full-time and salaried, and in compliance with federal regulations, such as prevailing wage rate. The appointment may be restricted or regular, either academic or calendar year, as long as it is salaried, full-time, and there is an expectation of successive renewals over a period of several years. Wage employment does not meet this test.
• The position is significant and meets institutional needs as documented by the department and validated by the approval of the relevant senior manager. Significance may be signaled, in part, by rank and title, as well as documented in the job description and supported by the individual’s credentials. These include instructional faculty (ranks of instructor and assistant professor or above, including clinical faculty and collegiate professor ranks, but excluding adjunct, wage, or visiting faculty members); research faculty (all ranks except postdoctoral associates, whose appointments are limited, by definition, to five years); administrative/professional faculty with significant expertise critical to the university; and staff members with significant expertise critical to the university.

The department verifies that they wish to retain the employee in the position indefinitely subject to availability of funding, need for services, and satisfactory performance.

2.10 Dual Career Program

Prospective candidates for faculty positions at Virginia Tech may have spouses or partners who are also seeking employment. The ability of a spouse or partner to find suitable employment is a crucial element in the recruiting process and may be a determining factor in the couple’s decision.

The spouse or partner of a faculty candidate or administrator who is being recruited to Virginia Tech is eligible for participation in the dual career program. The spouse or partner of a current faculty member who has been recently hired or is negotiating a retention package is also eligible for participation in the dual career program.

The dual career program offers job search assistance for up to one year; advice regarding a résumé, curriculum vitae, and cover letter; assistance with interview preparation; and networking assistance. These services do not mean entitlement to employment or a guarantee of job placement. Guidelines that describe procedures for Virginia Tech’s hiring of dual career partners are available on the Human Resources and provost’s websites.

2.11 Qualification and Teaching Credentials for Instructors of Record

Virginia Tech uses the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) teaching credential guidelines to qualify instructors of record.

For regional accreditation purposes, Virginia Tech must justify and document the teaching qualifications of all instructors of record as outlined by the SACSCOC. The SACSCOC does allow for special qualifications that fall outside these guidelines.

Faculty, Instructors, Adjunct Faculty

To teach baccalaureate/undergraduate courses: a doctorate, terminal degree, or master’s degree in the teaching discipline, or a master’s degree with at least 18 graduate hours in the teaching discipline.

To teach graduate/post-baccalaureate courses: an earned doctorate/terminal degree in the teaching discipline or a related discipline.

Graduate Teaching Assistants

To teach baccalaureate/undergraduate courses: a master’s degree in the teaching discipline, or a minimum of 18 graduate hours in the teaching discipline and direct supervision by a faculty member experienced in the teaching discipline, regular in-service training, and planned periodic evaluations.

Department Responsibility

The department within which a course is listed or originates is responsible for qualifying instructors of record to teach by documenting credentials for any instructional site including the Blacksburg campus, any distributed university location, and any on-line/distance education. The qualifying department may be different than the employing department in some cases. Departments are responsible for maintaining up-to-date documentation of teaching credentials for instructors of record. Changes in teaching credentials may occur after initial qualification (usually at employment as a faculty member).

Documentation of Teaching Credentials

Documentation of credentials includes a transcript cover sheet (now called Statement of Faculty Credentials for Teaching) accompanied by an official electronic or other form of official transcript. The cover sheet and transcript are submitted to Human Resources for entering into the university’s Faculty Online Credentialing System (FOCS).

2.12 Advanced Study at Virginia Tech

The university encourages and supports the education of its employees. Educational leave to pursue a degree elsewhere is one option available to faculty. In addition, faculty may enroll in for-credit courses or degree programs at Virginia Tech. The program is administered under the provisions of Virginia’s general appropriations act and operates under certain constraints imposed by the state policy on educational aid to state employees.

The following provisions apply to full-time salaried faculty (including administrative and professional faculty and research faculty) who wish to take courses at Virginia Tech. Part-time salaried faculty are eligible for a partial tuition benefit. Only courses of degree programs approved in advance by the faculty member’s department head, chair, school director, or supervisor are eligible for tuition waiver or reimbursement. Enrollment should not impede the usual work schedule of the department or school. Time spent attending class during usual work hours must be made up under a plan approved by the department head, chair, school director, or supervisor unless the course is a work-related course required by the university.

Faculty who take courses must meet all admissions requirements, registration, and payment deadlines, just as any other student. Application for admission must be made and approval granted by the graduate school prior to the waiver of tuition for classes. If approved by the department head, chair, school director, or supervisor a faculty member may register for credit or audit a total of 12 credit hours per calendar year, with no more than six credit hours taken in any enrollment period—fall, winter, spring, summer I, or summer II. (The year begins with fall term and ends with summer II.) Additional hours may be taken outside the normal work schedule with the employee paying all applicable fees in excess of those allowable for tuition waiver or reimbursement.

Instructional faculty members of the rank of assistant professor or above are not eligible to become candidates for a degree or to earn an additional degree at this institution. The policy is designed to avoid the awkwardness of faculty members evaluating their colleagues in the fulfillment of degree requirements. This policy may be waived on a case-by-case basis through appeal to the Commission on Faculty Affairs (CFA). CFA may find and recommend to the provost that in a specific case the purpose of the policy is not contradicted. This policy does not apply to degree-seeking administrative and professional faculty, or non- instructional research faculty.

2.13 Types of Leave and Leave Reporting

Consult Human Resources for information about types of leave. Several types of approved leave, with or without salary, are available to faculty members. Unapproved absence from assigned duties, which is not covered by an approved or earned leave, is subject to a subsequent adjustment in pay.

2.14 Change of Duty Station or Special Leave

2.14.1 Change of Duty Station

A change of duty station may be approved in instances where a faculty member would be hosted by another institution or organization and undertake activities of benefit to the individual faculty member and the university. Approval of the executive vice president and provost or executive vice president and chief operating officer, depending upon the reporting structure, on recommendation of the department head or chair or school director, and dean (or appropriate administrator) is required. Such authorization is usually not granted for longer than one semester. In certain circumstances, the executive vice president and provost or the executive vice president and chief operating officer determines whether a change of duty station involving institutional salary support is appropriate.

2.14.2 Special Leave

A special leave may be approved in instances such as grant responsibilities, opportunity for a prestigious fellowship in residence at another institution, or similar activities of benefit to the individual faculty member and the university. Approval of the executive vice president and provost or executive vice president and chief operating officer, depending upon the reporting structure, on recommendation of the department head or chair or school director, and dean (or appropriate administrator) is required when such absences involve salary payment by university general funds, either in full or in part. Such authorization is usually not granted for longer than one year. The host institution, agency, or sponsored project is expected to make a significant contribution toward the cost of the faculty member’s salary and/or benefits. In addition to Special Leave, Study Research Leave and Research Assignment Leave are available to tenured and continued-appointment faculty, and are described in detail in chapters three, four, and fourteen of this handbook.

2.14.3 Geographical Transfer Policy

Reassignment of a faculty member at the initiative of the university to a primary workstation located more than 50 miles from the current workstation is considered a geographical transfer. A department head, chair, or school director, or supervisor may request the geographical transfer of a faculty member to implement a programmatic mission of the university. The affected faculty member shall be involved in planning for the transfer prior to the submission of a formal request for transfer. The request for geographical transfer shall be transmitted in writing to a second-level administrator for approval with accompanying documentation justifying the need for the transfer of the selected individual. The justification shall describe the university program and the position to which the faculty member is being transferred. This description shall list the unique skills and knowledge required to fulfil the program’s mission. The alternatives for meeting the requirements shall be outlined, along with the reasons for selecting the alternative of geographical transfer of the particular faculty member. A faculty member must be notified in writing at least six months in advance of the geographical transfer. The transferred faculty member shall be reimbursed for all allowable expenses as defined in the university Controller’s Office Procedure 20345: Moving and Relocation Expenses. A cost-of-living adjustment will be added to the faculty member’s base salary during the period of employment in a high-cost area.

2.15 Continuing and Professional Education Activities

2.15.1 Required Use of and Participation in Continuing and Professional Education Program Services and Facilities

Contact Continuing and Professional Education for information. Policy 6362, “Policy on Continuing and Professional Education,” requires that academic colleges, centers, and administrative units designing and delivering continuing and professional education activities, both on-and off-campus, under the auspices of the Virginia Tech brand must work through Continuing and Professional Education. This includes work conducted by faculty in Blacksburg, as well as faculty delivering continuing education programs at university locations outside of Blacksburg. Alternate arrangements may be made in the case of lack of availability of appropriate space or mutual agreement between the sponsoring university entity and Continuing and Professional Education.

2.15.2 Overload Payment and Compensation for Non-Credit Continuing and Professional Education Activities

Contact Continuing and Professional Education for information. Faculty members may be eligible for direct payment for non-credit instructional activity in Continuing and Professional Education programs.

All faculty members not supported by educational and general funds of the Virginia Cooperative Extension Service, Continuing and Professional Education, or outreach programs are eligible for such payments. Faculty members supported by such funding whose job descriptions do not include activity in non-credit instruction may request approval of their dean or director (or appropriate administrator) and the executive vice president and provost or executive vice president and chief operating officer, depending upon the reporting structure, for participation for payment.

Non-credit teaching for direct pay is subject to the provisions of the university’s consulting policy, i.e., the total of non-credit teaching and other approved consulting does not ordinarily involve more than one day per week and does not exceed five days in any five-week period. For purposes of limitation of consulting, each day in which non-credit instruction is undertaken is counted as one day, unless the participation does not exceed one-half day (as defined below), in which case it is counted as one-half day. Because of the scheduling requirements of certain Continuing and Professional Education programs, exceptions to the limitation of five days of consultation in any five-week period may be approved as long as the maximum of 39 days in the academic year is not exceeded.

For direct payment purposes, a day is defined as six contact hours of non-credit instruction; pro rata payments are made for portions of days, usually in units of 1.5 hours. For teleconferences involving televised delivery a day is defined as three contact hours.

To encourage faculty to develop academically innovative programs with significant market potential, faculty may request preparation time as part of the program and budget development process. This additional faculty compensation for research and development may not exceed three days for each day of instruction.

Research and development time is associated with two types of programs. The first type is research and project development undertaken for a specific organization. As such, the payment of the research and project development is assured with the other program services under contract. The second type of program involves those programs offered on a solicitation basis to members of a specific audience. The generation of revenues for faculty research and development are included in participant fees. The actual amount and timing of the faculty payment depends on program success. The agreement is subject to approval by the department head, chair, school director, or supervisor and director of program development.

If research and development initiatives are perceived by a contracting agency or department to be more extensive, the college has the option of providing additional compensation to faculty through college surplus funds or of buying their time in the summer. Such additional compensation beyond three days for each day of delivery requires the approval of the vice president for outreach and international affairs and the director of Continuing and Professional Education. Approval for such payment is required through the P14 payment process initiated by Continuing and Professional Education.

For a particular program, a daily payment rate is determined by agreement of program faculty in Continuing and Professional Education, the participating faculty member, and the faculty member’s department head, chair, school director, or supervisor and is subject to the approval of the director of Continuing and Professional Education. Such a negotiated rate may depend on the anticipated enrollment and the budgetary constraints of the program.

The provost may set a maximum applicable daily payment rate. The provost advises the Commission on Faculty Affairs of any changes in the maximum applicable daily payment rate if set.

Continuing and Professional Education is responsible for seeking approval for direct pay (P14) through the university and authorizing final payment. Such payments are made after teaching services are provided.

In addition to the constraints imposed by the consulting policy, there is a limitation on the aggregate amount of such direct payments that may be earned in a faculty member’s appointment year. Faculty members on calendar year appointments may earn no more than 33⅓ percent of their annual salary during the July 1 - June 30 appointment year. Faculty members on academic year appointments may earn no more than 33⅓ percent of their annual salary during the academic year. Payments made to academic year faculty members in the summer period will be included in the 33⅓ percent limitation of the previous academic year’s salary that is currently imposed on summer payment from all university sources combined.

Costs of producing materials for Continuing and Professional Education programs are borne by the program budget, not by the operating budgets of any unit except where provided for that specific purpose.

2.15.3 Overload Payment and Compensation for For-Credit Continuing and Professional Education Activities

The university's mission and goals include increasing outreach, continuing and professional education, and distance learning activities to serve the workforce and professional development needs of business and industry, government, organizations, and individuals. Some professional audiences seek credit course work to meet their educational needs—not just a short term, non-credit experience such as workshops or seminars. In some cases, these audiences look to some of the university's most visible and distinguished faculty members to deliver this programming. Often such programming involves a contract with businesses or organizations, which covers the cost of course delivery, including faculty compensation. The programs are generally delivered off-campus, perhaps at the organization/business site or elsewhere, or via distance learning.

The following policy guidelines provide information regarding compensation for faculty members involved in delivering for-credit continuing and professional education. For-credit programming designed for executive/professional audiences is included among programs eligible for additional faculty compensation; even if such programs are offered for individual enrollment rather than for employees of a specific corporation or agency; and even if course work is delivered at the faculty member’s home base.

Overload responsibilities undertaken for supplemental compensation may be assumed only when the intended task is clearly outside usual responsibilities of the individual, as determined by the appropriate department head, chair, school director, or supervisor and academic dean; and the conduct of the task is clearly in the best interest of the university; the individual is eminently qualified to undertake the task; and such an overload is included within the overall time limitations of the consulting policy.

Continuing projects, or projects occupying an identifiable amount of time longer than a semester or more, are arranged on a released-time basis. Prior approval by the department head, chair, or school director and dean are required for all overload commitments undertaken for supplemental compensation.

Overload compensation may be approved in cases involving for-credit continuing and professional education where: the faculty member is required to travel to an off-campus location; or, the faculty member is delivering a program to students at one or more distributed campus locations through distance learning technology, whether the instruction is delivered in a synchronous or asynchronous mode; or, the faculty member is delivering for-credit course work as part of an executive/professional program approved for overload compensation, even if the course is being delivered at the faculty member’s home base.

There should be no expectation that course work currently taught on-load, which requires a faculty member to travel to another location to teach, or for which the faculty member is delivering the program via distance learning technology, would automatically be considered for overload compensation. Determination of the faculty member’s assignment is the responsibility of the department head, chair, school director, or supervisor and dean. Distance learning instruction and teaching at off-campus sites are appropriate on-load assignments which faculty members are expected to fulfill without additional compensation.

Faculty members are not required to accept for-credit overload assignments for continuing and professional education instructional activities.

Faculty compensation is determined as part of the budget development and contract negotiation process and may vary based on discipline, level of expertise, effort required, group size, number of credits, and other factors usually considered in setting compensation for continuing education instruction. P14 payments for credit continuing and professional education course work also require the approval of the vice provost for faculty affairs. Contracts with businesses, organizations, or other approved revenue sources are expected to cover the full cost of such faculty compensation.

The department head, chair, school director, or supervisor is responsible for the fair and appropriate assignment of overload for-credit course work to faculty members in the department. To assure equity and appropriateness, the department head, chair, school director, or supervisor, and dean monitor the responsibilities and assignments of faculty earning additional compensation.

Faculty members on calendar year (CY) appointments may earn up to an additional 33⅓ percent during the fiscal year, by teaching non-credit programs administered through the university; teaching an eligible for-credit continuing and professional education course on overload; and/or participation in a technical assistance agreement.

Similarly, faculty members on academic year (AY) appointments may earn up to an additional 33⅓ percent of their academic year salaries during the academic year through these approved activities. Earnings during the summer from all university sources, including those cited above, summer or winter session teaching, and sponsored research are capped at 33⅓ percent of the prior academic year salary.

The consulting policy sets the institutional maximum on the number of days that a faculty member can spend in approved, paid professional activity while on salary. All approved activity—consulting, technical assistance agreements, for-credit continuing and professional education course work, and non-credit continuing and professional education must stay within the consulting policy guidelines of one day per week or no more than five days in a five-week period. Six contact hours constitute the equivalent of one consulting day.

Exceptions require the approval of the department head, chair, school director, or supervisor, dean (or appropriate administrator), and executive vice president and provost or executive vice president and chief operating officer, depending upon the reporting structure.

2.16 Retirement, Resignation, and Non-Reappointment

2.16.1 Retirement

State law prohibits mandatory retirement based on age alone. There is no mandatory retirement age for university faculty and staff.

2.16.1.1 Voluntary Transitional Retirement Program for Faculty with Tenure or Continued Appointment

Faculty members with tenure or continued appointment who are at least 60 years of age and have at least 10-20 years of full-time service at Virginia Tech may be eligible for the university’s voluntary transitional retirement program. The program allows long-term faculty to remain actively involved in the life of the institution while reducing their professorial responsibilities as they transition towards full retirement. Further details of the program and eligibility requirements are provided in Policy 4410, “Voluntary Transitional Retirement Program for Tenured Faculty.”

2.16.2 Resignation

Faculty members who wish to resign should give notice as far in advance as possible. Faculty members with instructional responsibilities are expected to provide notice of at least one semester. The minimum acceptable notice for tenured, tenure-track, or non-tenure-track instructional faculty members is three months.

2.16.3 Non-Reappointment of Faculty Members on Temporary or Restricted Appointment

For faculty members on temporary or restricted appointment for which there is no indicated opportunity for reappointment, the letter of appointment also serves as notice of the termination of employment. The appointment is discontinued unless notified otherwise.

Research faculty members are ordinarily on restricted appointments for a fixed period because of limitations of external funding. Reappointments may be possible if such funding is renewed but should not be assumed.

2.16.3.1 Non-Reappointment of Faculty Members on Regular Appointment

The decision to non-reappoint a faculty member on a regular appointment may stem from many factors beyond unsatisfactory service, such as modification of programmatic emphasis, enrollment trends, a change in the nature of the position, or simply the intention to seek an appointee with superior qualifications or stronger potential for professional development. Non-reappointment does not require establishment or documentation of just cause.

2.16.3.2 Notice of Non-Reappointment for Faculty on Probationary, Term Tenure-Track or Continued-Appointment-Track

Years	Notice
First year of employment (One-year term appointment)	February 9 of academic year or three months before end of employment year.
Second year of employment	November 9 of the academic year or six months before end of employment year;
Subsequent years	12 months before end of employment year (May 9 for academic year appointments).

2.16.3.3 Notice of Non-Reappointment for Faculty on Regular, Non-Tenure-Track, Instructional Appointments

Years	Notice
Less than two years	At least three months before the end of the current contract for those who have been in a regular appointment for less than two years.
Up to five years	At least one semester before the end of the current contract for those on an academic year (AY) appointment; or six months for those on a calendar year (CY) appointment; for those who have been in a regular appointment for two years up to five years.
Five years or more	At least one year before the end of the current contract for those on regular appointment for five years or more (May 9 for academic year (AY) appointment).

2.16.3.4 Non-Reappointment for Research Faculty on Regular Appointment

Years	Notice
Less than two years	At least three months for those in regular appointments for less than two years.
Two years or more	At least six months for those in regular appointments for two years or more.
Prior to March 2001	For those research faculty appointed to regular positions before March 2001, the notice of reappointment is 12 months.

2.16.3.5 Notice of Non-Reappointment for Administrative and Professional Faculty on Regular Appointment

Years	Notice
Prior to one year	At least three months before the expiration of an initial one-year appointment (for example, if the effective date of an initial one-year appointment was July 1, then written notice of non- reappointment must be made by March 31 for termination effective June 30).
More than one, but less than two years	At least six months for administrative and professional faculty members employed by the university for more than one year, but less than two years.
Two years or more	At least 12 months for administrative and professional faculty members employed by the university two years or more.

2.16.3.6 Unclaimed Personal Property

All personal property - tangible, intangible, electronic, or other personal property - is removed by close of business on the faculty member’s final day of employment at Virginia Tech unless prior approval is granted. The university is not responsible for keeping or maintaining personal property left by the faculty member. The university accepts no liability for lost, damaged, or destroyed personal property.

A departing faculty member may request permission to store personal property beyond the last day of employment. The following stipulations apply: the request to store personal property must be submitted prior to the last day of employment; such a request must be submitted to the department head, chair, school director, or authorized supervisor, and the department head, chair, or school director, or authorized supervisor has absolute discretion in approving or denying the request.

2.17 Reduction in Force (RIF)

Termination refers to the involuntary cessation of employment of a tenured or continued appointment faculty member or of a faculty member on a fixed-term appointment before the end of the term. Termination takes place only as dismissal for adequate cause or in the case of a reduction in force (RIF).

Furlough refers to the involuntary interruption of employment of a tenured or continued appointment faculty member or of a faculty member on a fixed-term appointment before the end of the term. This differs from termination in that it conveys an intention of the university to reappoint affected faculty members within some reasonable period if circumstances permit.

A reduction in force is the termination or interruption of employment of a member of the general faculty under conditions of financial exigency or program reduction. Reduction in personnel by attrition, freezes on new hiring, across-the-board reductions of salaries and/or teaching schedules, and the offering of incentives for early retirement, whether at the program level or institution-wide, are not considered reductions in force. Rather, they are lesser remedies that may be implemented before any reduction in force.

Denial of tenure to an untenured faculty member or non-renewal of appointment of an untenured faculty member on probationary appointment, or non-renewal of appointment of an untenured member of the administrative and professional faculty, where usual procedures have been affected in each instance, is not considered a termination within the meaning of this policy.

For the procedures outlined below, seniority refers to the number of years served at the university by a member of the general faculty in tenured, tenure-track, or functionally equivalent positions. Service need not be continuous to contribute to an individual’s seniority. Years of service include those during which a faculty member is employed at least half-time. Years during which a faculty member is employed less than half-time will not count toward years of service for purposes of this section.

2.17.1 Reduction in Force (RIF) Under Conditions of Financial Exigency

Reductions in force (RIF) may occur when financial conditions disallow the usual operation of programs. While the university has a right to initiate reductions in force, including those affecting tenured faculty, it is the policy of the university (to the extent consistent with the degree of financial exigency) to ensure that the rights of tenure or continued appointment are preserved; to ensure that the integrity of the university and  its programs is preserved; to protect the contractual expectations of untenured faculty; to provide that the burden of corrective action is shared by the various categories of personnel of the university, including all members of the general faculty; and to ensure that any reductions that do occur follow an orderly and predictable process.

A financial exigency is an imminent financial crisis that threatens the survival of the university and that cannot be alleviated by ordinary budgeting practices. Reductions in force in response to conditions of financial exigency are determined and implemented as follows:

Declaration of a state of financial exigency: Should the president determine that so extraordinary a circumstance has arisen or is anticipated that it might be necessary to terminate or interrupt the appointments of faculty members, the president may declare a state of exigency. Upon such declaration, the president forms an ad hoc committee to review the budgetary situation and the president’s plan for addressing it.

Committee review: The ad hoc committee is comprised of no fewer than nine members, a majority of whom are faculty members nominated by the Faculty Senate. This includes at least one representative from each college. Where a RIF may affect the University Libraries or Extension faculty, at least one representative from that faculty should also be selected to serve on the committee. Any person who resigns from or otherwise discontinues service on the committee is replaced by a new member chosen in the same manner as was the individual being replaced, and such replacement members are so selected that each college and, where appropriate, the University Libraries or Extension faculty retain at least one representative. Within the constraints of time and circumstance, the committee reviews the proposal submitted by the president and any alternative remedies that are available and recommends to the president a plan of action that may incorporate reductions in force of the administrative and support staff as well as the general faculty. The committee is charged with protecting both academic freedom and, insofar as circumstances permit, the presumption of continuous employment that tenure or continued appointment bestows and considers the curricular needs and goals of the university as well and the effects of any anticipated actions on the future financial well-being of the institution.

Determination of policy: After receiving the recommendations of the ad hoc committee, the president determines the response of the university to the declared state of exigency. If the president’s decision is substantially at variance with the recommendations of the committee with specific regard to the implementation of RIFs, the committee may, by majority vote, appeal the president’s actions to the Board of Visitors. In all other matters, and in cases where the president’s decision to carry out a reduction in force accords with the recommendations of the ad hoc committee, no such appeal is available. The ad hoc committee consults with the president and receives periodic reports until the state of exigency ends and the committee determines that the obligations of the university to furloughed or terminated faculty are met.

Implementation: Reductions in force are implemented either within specified programs or across the institution. Whenever a RIF is undertaken, it is guided by the following considerations. Insofar as circumstances permit, all temporary or part-time faculty members and those not holding tenured or tenure- track appointments or their functional equivalent are retained through the then-existing term of appointment. Insofar as circumstances permit, untenured faculty holding tenure-track appointments and University Libraries and other faculty holding probationary appointments are retained through the then-existing term of appointment. No tenure-track or functionally equivalent appointment is terminated or interrupted unless and until all appropriate temporary appointments are terminated. Where reductions in force of these personnel are required, they are implemented in ascending order of rank and of seniority within rank. Whenever possible, the university provides notice of furlough or termination equivalent to that for non-reappointment schedule as set forth in chapter two, “non-Reappointment.” Except in the most extraordinary circumstances, all tenured faculty and those on continued appointment retain their positions. Where reductions in force of tenured or continued appointment personnel are required, they are implemented in ascending order of rank and of seniority within rank. Whenever possible, the university provides at least one year’s notice of furlough or termination.

Notification: The university provides written notification to all faculty affected by a RIF including: (a) a statement of the basis for its action, (b) a description of the manner in which the decision in question was reached, (c) a disclosure of the information and data on which the decision makers relied, (d) information regarding reappointment rights and process, and (e) information regarding procedures available for appealing the decision.

Appeals: The decision to furlough or terminate a member of the general faculty because of a reduction in force may be appealed in two ways. The affected individual may appeal through the grievance procedure specified in the relevant section of the Faculty Handbook. After consulting with the appropriate dean and an elected committee of faculty members from the affected program, the principal administrative officer of a program may appeal individual RIF decisions to the provost on programmatic grounds. Reductions in force of no more than one-quarter of the affected faculty in any program may be appealed in this manner.

Replacement and Reappointment: The university recognizes its obligation to reappoint personnel furloughed or terminated through a RIF insofar as circumstances permit within a reasonable period following such action. Accordingly, temporary personnel cannot replace a probationary term faculty member who has been furloughed or terminated through a reduction in force for a period of three years following that action. Similarly, temporary or probationary term personnel cannot replace a tenured or continued appointment faculty member who has been furloughed or terminated through a reduction in force for a period of five years following that action.

Rather, affected members of the general faculty are granted first refusal of re-established positions for which they are qualified, with positions offered in descending order of rank and seniority within rank whenever the number of qualified personnel exceeds the number of available positions. The university attempts to identify funds to extend to affected faculty during these periods of three and five years, respectively, all health insurance benefits for which they would otherwise have qualified. On reaching age 70, or on declining at least one offer of employment in a position equivalent in tenure status, salary, and teaching load (as adjusted to reflect post-RIF department changes) to that which was terminated, each faculty member affected by a reduction in force forfeits all protections afforded by this paragraph.

For the purpose of providing insurance benefits and implementing these reappointment procedures, the provost keeps the curriculum vitae and current address of each terminated or furloughed faculty member. Terminated or furloughed faculty have an obligation to maintain the accuracy and timeliness of these records; the failure to do so results in forfeiture of the protections afforded by this paragraph.

2.17.2 Reduction in Force (RIF) for Academic Program Restructuring or Discontinuance

Ordinarily, changes to academic programs within the university are planned so that the appointments of faculty members are not compromised. Such changes are considered part of the ongoing evolution of academic programs and are subject to the usual procedures established by the colleges, relevant commissions, and the State Council of Higher Education for Virginia.

However, when extraordinary circumstances require more rapid change, it may be necessary to restructure or discontinue programs or departments in a way that leads to involuntary terminations or other alterations of appointments of faculty members with tenure or continued appointment. In such circumstances, the policy in this section applies.

Any decision to restructure or discontinue academic programs in a way that alters faculty appointments is a university-wide responsibility and should be made to support the educational mission of the university. In all such circumstances, early and meaningful faculty participation is essential and fundamental to the process outlined in this policy.

The restructuring or discontinuing of one or more academic programs with the potential to invoke this policy may be initiated by the provost or president, by the college deans, by the college faculties, or by an appropriately charged commission. If the provost determines that such restructuring or discontinuing of academic programs should be considered, a Steering Committee for Academic Restructuring, hereinafter referred to as the steering committee, is appointed as described below. The purpose of the steering committee is to evaluate and coordinate the proposed restructuring effort, and to ensure that the procedures in this section are followed.

The steering committee is composed of nine members determined jointly by the provost and the president of the Faculty Senate: two faculty members selected from the membership of the Commission on Faculty Affairs; two faculty members selected from the membership of the Commission on Undergraduate Studies and Policies; two faculty members selected from the membership of the Commission on Graduate Studies and Policies; one faculty member selected from the University Advisory Council on Strategic Budgeting and Planning; one member selected from nominations by the Faculty Senate; and the provost, or an administrative designee.

The steering committee elects a chair by a vote of all members of the committee. The steering committee composition is intended to ensure that the expertise and perspectives of the relevant commissions are incorporated in the deliberations.

The provost initiates discussion of a proposed program restructuring or discontinuance with the steering committee, describing the need for the change, the proposed type and scope of restructuring effort, the educational rationale for the change, and an explanation of how it is consistent with the long-term goals of the university. If after these preliminary discussions and upon considering the advice of the steering committee, the provost decides to proceed, the provost prepares a more detailed proposal including identification of programs to be restructured or discontinued (or how they will be identified); timelines for development of specific plans by the affected programs and for the restructuring effort as a whole; and the estimated impact on the affected faculty, staff, and students, and on the university as a whole. If a budget reduction is involved, then reduction targets for any affected unit(s) must be included in the draft proposal.

The steering committee reviews the draft proposal and makes recommendations to the provost either to proceed with the proposal as written or with modifications, or to return it as insufficiently justified. The steering committee shares its recommendations with the university community.

The provost considers the steering committee's recommendations and makes every effort to develop a plan acceptable to the steering committee. If the provost decides to proceed, direction is given to the relevant dean(s) to prepare specific plans for the affected programs, based on guidelines in the following section. These plans identify which specific programs are to be reduced or eliminated; how the faculty, staff, and students will be affected; and how the rights, interests, and privileges of the faculty and staff members will be protected. If a budget reduction is involved, the specific plan must describe how the reduction targets will be met.

Under specific circumstances approved in advance by the provost and president, the Alternative Severance Option may be available to deans for meeting reduction targets.

The deans submit specific plans to the provost, who reconvenes the steering committee to oversee the review and comment process. All specific plans are made available to the university community for comment for a period of not less than three weeks. The relevant commissions (including the commissions on Staff Policies and Affairs and Administrative and Professional Faculty Affairs if such employees are affected) are also asked to review and comment on the plans. The steering committee receives all comments and makes recommendations to the provost; these recommendations are also shared with the university community at large. The president and Board of Visitors have final authority to approve and implement all plans. Notification to affected faculty does not proceed until final approval is given.

Guidelines for development of college plans: The relevant deans should develop specific plans by involving the faculty at all levels of decision-making. Staff members should be involved as appropriate.

College-level planning for programmatic reductions follows the guidance and intent of the plan reviewed by the steering committee and approved by the provost. For developing specific plans, an academic program should meet one or more of the following criteria: (a) “program” as part of its title, (b) grants a degree or a credential, (c) has a sequence of courses with a common prefix, or, (d) is identified as an academic program in official university documents. A program is generally smaller than a department and must be larger than the activities of a single faculty member.

If restructuring requires the termination of faculty members, then the following guidelines must be followed. When programs are identified for restructuring or discontinuance, all faculty assigned to the program, both tenured and untenured, are potentially subject to reassignment or termination. Within programs identified for restructuring or discontinuance, tenured faculty must not ordinarily be terminated before untenured faculty. Termination decisions within the tenured faculty as a group or within the untenured faculty as a group should be based on rank and merit. Faculty members on restricted or temporary appointments should be terminated before faculty members on regular appointments. The number of involuntary terminations of tenured faculty members should be minimized by providing incentives for resignation, retirement, or reassignment.

Minimum responsibilities to individual faculty members: The university recognizes its responsibility to faculty members if this policy is implemented. All plans to restructure academic programs guarantee the following to individual faculty members:

Notice of termination: Faculty members with tenure or continued appointment whose positions are eliminated as part of restructuring are given notice of not less than three years. Administrative and professional faculty members on regular appointments shall be given at least 90 days’ notice. All other faculty members shall complete their current contracts or be given a one-year notice whichever is less. Notice of termination longer than the minimum specified above may be given to selected faculty members whose expertise is essential to closing out an academic program in which students are enrolled.

Written notification: After final approval has been given for specific plans, written notification is provided to all faculty members whose appointments will be terminated or altered. The notification shall include a statement of the basis for its action, a description of the way the decision was reached, a disclosure of the information and data on which the decision was based, and information regarding procedures available for appealing the decision.

Transition assistance: Every effort is made to place affected faculty members with tenure or continued appointment in available openings in the university or to reassign them to continuing programs. Transition assistance may include training to qualify for placement in a related field if desired and appropriate. Where placement in another position is not possible, the university provides appropriate and reasonable career transition assistance such as clerical support, communications, office space, and outplacement services.

Reappointment: In all cases of termination of appointment because of program reduction or discontinuance, the position of a faculty member with tenure or continued appointment cannot be filled by a replacement within a period of three years following separation unless the released faculty member was first offered reinstatement and a reasonable time in which to accept or decline.

Appeals: A faculty member whose appointment is terminated or altered due to program reduction or discontinuance may file a grievance as outlined in the relevant section of the Faculty Handbook. Grounds for appeal may be substantial failure to follow the procedures and standards set forth in this section. Because faculty members, through the steering committee, are involved in the review and development of recommendations guiding the restructuring or discontinuance, the determination of which programs or departments are affected cannot be a basis for appeal.

2.18 Severance Benefits

The university provides severance benefits for eligible faculty who are involuntarily separated due to budget reduction, agency reorganizations, or workforce downsizings for reasons unrelated to performance or conduct. Faculty hired on restricted appointments funded from sponsored contracts or grants, or term (fixed- period) appointments with a specified ending date, regardless of funding source, are not eligible to receive severance benefits. In cases where employees are non-reappointed or voluntarily resign, these actions are not deemed “involuntary separation” for purposes of the severance policy.

2.18.1 Alternative Severance Option (ASO)

Under specific circumstances approved in advance by the provost and president, an alternative severance option (ASO) may be available to eligible faculty. Severance of faculty members with tenure or continued appointment must be voluntary; no tenured faculty member can be required to participate. Tenure-track and continued appointment-track faculty members are not eligible, nor are restricted employees.

The premise for any severance payment rests on the rationale of business necessity to reduce personnel expenses. When such a situation occurs, deans and senior managers will be asked to define the business operations, academic programs, departments, or units where personnel reductions will occur. An approved business plan for each participating college or vice-presidential area will describe the specific units and eligibility criteria for participation in the ASO or layoff substitution process. These plans will necessarily differ. Some colleges and senior management areas do not offer the ASO as a means to reach their budget reduction targets. Not all employees who are eligible will be selected to participate. If more apply than are needed to address the reductions or if an individual employee serves a critical function. Eligible employees in units with approved business plans are notified if the option is available to them.

2.19 Professional Responsibilities and Conduct

2.19.1 Virginia Tech Principles of Community

The Virginia Tech Principles of Community state: Virginia Tech is a public land-grant university, committed to teaching and learning, research, and outreach to the Commonwealth of Virginia, the nation, and the world community. Learning from the experiences that shape Virginia Tech as an institution, we acknowledge those aspects of our legacy that reflected bias and exclusion. Therefore, we adopt and practice the following principles as fundamental to our ongoing efforts to increase access and inclusion and to create a community that nurtures learning and growth for all its members:

• We affirm the inherent dignity and value of every person and strive to maintain a climate for work and learning based on mutual respect and understanding.
• We affirm the right of each person to express thoughts and opinions freely. We encourage open expression within a climate of civility, sensitivity, and mutual respect.
• We affirm the value of human diversity because it enriches our lives and the university. We acknowledge and respect our differences while affirming our common humanity.
• We reject all forms of prejudice and discrimination, including those based on age, color, disability, gender, gender identity, gender expression, national origin, political affiliation, race, religion, sexual orientation, and military status.
• We take individual and collective responsibility for helping to eliminate bias and discrimination and for increasing our own understanding of these issues through education, training, and interaction with others.
• We pledge our collective commitment to these principles in the spirit of the Virginia Tech motto of Ut Prosim (That I May Serve).

2.19.2 Statement of Business Conduct Standards

Each employee contributes to the success of Virginia Tech by performing job responsibilities in accordance with university policies and procedures. The university’s business standards provide a foundation of business practices to support the core missions of learning, discovery, and engagement. The statement of business standards is on the Financial Management Team website.

All employees are expected to ensure that business activities are conducted properly and in compliance with federal and state laws. Procedures are on websites of the Controller's Office, Procurement Department, Human Resources, and in university policies.

2.19.3 Non-Discrimination, Sexual Assault, and Harassment Prevention

Contact the Office of Equity and Accessibility for information. The university provides a workplace where all employees, students, visitors, and volunteers are treated with dignity and respect. Policy 1025, “Policy on Harassment, Discrimination, and Sexual Assault” affirms the university’s commitment to prohibit discrimination and harassment at all levels and areas of university operations and programs. Policy 1026, “Policy on Title IX Sexual Harassment and Responsible Employee Reporting” outlines processes for sexual assault and harassment.

As an academic community, Virginia Tech values the rights guaranteed by the First Amendment of the United States Constitution and does not restrict the exercise of these rights. All members of the university community are responsible for respecting conditions that preserve the freedom to learn. Protected activities do not violate university policy unless they interfere with university functions, violate the rights of others, or otherwise break the law. The appropriate supervisor or administrator is responsible for addressing offensive behavior that does not violate the non-discrimination and harassment prevention policy.

It is also a violation of policy to retaliate against any party for participating in a discrimination and/or harassment investigation (“protected activity”). Retaliation includes any adverse treatment that is reasonably likely to deter the complainant or others from filing a charge of discrimination and/or harassment or participating in a discrimination and/or harassment investigation. Retaliation can be verbal, written, graphic, electronic, or physical.

Consensual Relationships. It should be understood by all members of the university community that consensual amorous or sexual relationships (hereinafter referred to as consensual relationships) that occur in the context of educational or employment supervision and evaluation present serious ethical concerns. Consensual relationships between faculty and students enrolled in their classes or students for whom they have professional responsibility as advisor or supervisor violate the policy on professional ethics and responsibilities and may be a violation of non-discrimination and/or harassment prevention policies. Similarly, consensual relationships between supervisors and employees they directly supervise violate university policy. Faculty members or others performing instructional or academic advising duties and supervisors involved in consensual relationships must remove themselves from any activity or evaluation that may reward or penalize the affected student or employee.

Consensual relationships between faculty and students are particularly susceptible to exploitation. The respect and trust accorded a professor by a student, as well as the power exercised by the professor in giving praise or blame, grades, recommendations for further study and future employment, make voluntary consent by the student suspect, given the fundamentally asymmetric nature of the relationship.

Faculty and supervisors should be aware that engaging in consensual relationships with students or employees they supervise could make them liable for formal action. Even when both parties have consented to the development of such a relationship, it is the faculty member or supervisor who, by virtue of one’s special responsibility, may be held accountable for unprofessional behavior. Complaints alleging discrimination and/or harassment, as defined above, may be filed by either party to the consensual relationship or by an aggrieved party outside the relationship.

Responsible Employee Reporting. University administrators, supervisors, and those performing instructional or academic advising duties have an added responsibility to create and maintain a work and learning environment free of discrimination and/or harassment.

If an administrator, supervisor, or individual with instructional responsibility becomes aware of an incident that might reasonably be construed as constituting discrimination and/or harassment, they must take immediate steps to address the matter. In such cases, the administrator, supervisor, or individual with instructional responsibility should promptly contact the Office for Equity and Accessibility to coordinate any further action that may be necessary.

Administrators, supervisors, and those with instructional responsibility should act whenever they learn, directly or indirectly, about discrimination and/or harassment. This obligation exists even if the complainant requests that no action be taken. It is not the responsibility of the complainant to correct the situation.

Administrators, supervisors, and those with instructional responsibility (for their respective teaching obligation) have the legal responsibility to protect a complainant from continued discrimination, harassment, or retaliation. They must also protect persons accused of discrimination and/or harassment from potential damage by false allegations.

Administrators and supervisors will be held accountable for dealing with and taking necessary steps to prevent discrimination and/or harassment.

Administrators and supervisors are responsible for informing employees and students under their supervision of this policy and providing the name and contact information of the person responsible for addressing harassment and/or discrimination complaints covered under Policy 1025 and Policy 1026.

For additional information and to file a discrimination or harassment complaint, including Title IX, contact the Associate Vice President for Equity and Accessibility, Virginia Tech, North End Center, 300 Turner St., Blacksburg, VA 24061, Phone: 540-231-2010.

Virginia Tech Police Department. We encourage victims of sexual violence, including rape, sexual assault, sexual battery, stalking, and dating and domestic violence, to exercise their right to file a complaint with the Virginia Tech Police Department if the crime occurs on Virginia Tech’s property, regardless of the status of the complainant. For crimes occurring away from Virginia Tech’s property, victims may contact the local law enforcement in the appropriate jurisdiction.

2.19.4 Campus and Workplace Violence Prevention

The university’s commitment to preventing campus and workplace violence is specified in Policy 5616, “Campus and Workplace Violence Prevention Policy.” The policy lists prohibited conduct and sanctions for any policy violations, and prohibits carrying, maintaining, or storing a firearm, ammunition, or weapon on any university facility and for all events on campus where people congregate in any public or outdoor areas, even if the owner has a valid permit, when it is not required by the individual’s job or in accordance with the relevant university policies for student life.

The policy also describes prevention, risk assessment, and response practices implemented, such as establishment of a Campus and Workplace Violence Prevention Committee, and a Threat Assessment Team, and appropriate procedures for incident reporting.

2.19.5 Health and Safety

Policy 1005, “Health and Safety Policy,” describes the university’s commitment to a healthy and safe campus and documents roles and responsibilities to help prevent accidents, illnesses and injuries; increase safety awareness; meet requirements of environmental, occupational health, and safety laws and regulations; reduce institutional liability; and establish safety responsibilities for members of the university community and visitors to university-owned or occupied property.

2.19.6 Safe Academic and Work Environment

The university is committed to ensuring the safety and security of employees, students, visitors, and volunteers. Employees are responsible for compliance with environmental, health and safety laws and regulations and should make every effort to maintain a safe and healthy working environment. In the interest of promoting a safe and secure working, learning, and living environment for employees, students, and visitors, the university developed Policy 5615, “University Safety and Security.” As part of a larger and institution-wide commitment to a safe and secure campus, the university established offices specifically charged with security and safety responsibilities, created a committee structure, the University Safety and Security Policy Committee, to provide general oversight and leadership for the university’s security, safety, and violence prevention efforts, and lists responsibilities for department head, chair, or school director, and individuals in supervisory roles.

2.19.7 Policy on Misconduct in Research

The university endorses high ethical standards in conducting research to ensure public trust in the integrity of research results. The university recognizes that deception in research erodes the credibility of an institution and the confidence of those who might benefit from the research. The university takes all reasonable and practical steps to foster a research environment that promotes the responsible conduct of research and research training (and activities related to that research or research training), discourages research misconduct, and deals promptly with allegations or evidence of possible research misconduct. The Research Integrity Office offers additional information. chapter 10 of this handbook includes additional information and procedures regarding misconduct in research.

2.19.8 Statement of Principles of Ethical Behaviorior

The faculty of Virginia Tech believe that academic freedom is essential to attain our missions as scholars and teachers. We also recognize and accept the responsibilities attendant to academic freedom as fundamental to a scholarly community. We believe we must exercise our rights with due regard to the rights of others and we must meet our obligations fully as faculty members. We hold ourselves accountable to ensure that the faculty of Virginia Tech is recognized for its commitment and leadership to pursue knowledge, to promote the free expression of ideas, to teach our students, and to serve the citizens of Virginia.

Scholarship: Guided by a deep conviction of the worth and dignity of the advancement of knowledge, we recognize our primary responsibility to our disciplines is to seek and to state the truth. To this end, we devote our energies to developing and improving our scholarly competence. We accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. We practice intellectual honesty and do not compromise our freedom of inquiry. At Virginia Tech, self-plagiarism is considered unethical behavior. Self-plagiarism occurs when authors reuse substantial parts of their own published work as new without providing appropriate references to the previous work if this reuse deviates materially from standard practice in the field.

Students: We encourage the free pursuit of learning in our students and exemplify the best scholarly and ethical standards of our disciplines. We value and promote differences among students and respect students as individuals and serve as their intellectual guides and counselors. We make every reasonable effort to foster honest academic conduct and to assure that our evaluations of students reflect each student's true merit. We respect the confidential nature of the relationship between professors and students. We avoid any exploitation, harassment, or discriminatory treatment of students and acknowledge significant academic or scholarly assistance from students. We do not engage in any romantic or sexual relationships with students whom we are in a position to evaluate by virtue of our teaching, research, or administrative responsibilities.

Instruction: We strive to be fair, compassionate, and effective teachers. We prepare classes adequately, present materials fairly, and make ourselves available to students for consultation and advice. We avoid bias and we respect diverse points of view.

Colleagues: We accept our obligations that derive from common membership in the faculty of Virginia Tech. We relate to colleagues and other university personnel in a responsible, professional, and civil manner, avoiding behaviors and actions that purposefully, consistently, and unnecessarily tend to disrupt, impede, harass, or abuse them in the performance of their assigned tasks and professional duties. We do not discriminate against colleagues, nor do we engage in romantic or sexual relationships with employees whom we are in a position to supervise or evaluate. We respect and defend free inquiry by all. In the exchange of criticisms and ideas, we show respect for the opinions of others, acknowledge significant academic or scholarly assistance, and strive to be open-minded and fair in our professional judgments. We accept our share of faculty responsibilities for the governance of Virginia Tech and take due care in the discharge of those responsibilities.

University: We seek above all to be effective in our assigned responsibilities. We give paramount importance to these responsibilities in determining the amount and character of work done outside of Virginia Tech. Although we observe the Faculty Handbook, we maintain our right to criticize and seek revision of university policy.

Community: As members of the larger community, we have the same rights and obligations as other citizens. We measure the importance of these rights and obligations in light of our responsibilities to our disciplines, to our professions, to our students, and to Virginia Tech. When we speak or act as private persons, we avoid creating the impression of speaking or acting for Virginia Tech. As citizens engaged in   a profession that depends upon freedom for its welfare and integrity, we have a particular obligation to promote conditions of free inquiry and of further public understanding of academic freedom.

2.20 Allegations of Unprofessional or Unethical Conduct

The Faculty Senate Committee on Ethics receives, investigates, and considers allegations of unprofessional or unethical conduct for all types of faculty members, except administrative and professional faculty members. If the committee finds a serious breach of ethical conduct that leads to a recommendation for a severe sanction or dismissal for cause, the procedures for “Imposition of a Severe Sanction or Dismissal for Cause,” are followed in implementing such sanctions as described in chapter three of this handbook.

When the allegation is against an administrative or professional (A/P) faculty member without tenure or continued appointment, a special panel of five administrative and/or professional faculty members is selected to review the charges and hear the case, if appropriate. The chair of the Commission on Administrative and Professional Faculty Affairs (CAPFA) chooses panel members from among the A/P faculty at large. The CAPFA chair may invite an experienced member of the Faculty Senate Committee on Ethics to serve as a non-voting member of the panel. All potential members must disclose possible conflicts of interest concerning their participation in the case.

2.21 Faculty Senate Standing Committees on Ethics, Reconciliation, and Review

External Faculty Senate Standing Committees serve the needs of the faculty as a whole, report to the vice president of the senate and are summarized in the Faculty Senate Constitution. See Faculty Senate website for information.

2.21.1 Faculty Senate Committee on Ethics

The Committee on Faculty Ethics receives and considers charges of violations of faculty ethics that involve the abuse of professional responsibilities as outlined in the principles of ethical behavior as prescribed in the Faculty Handbook.  It is the venue for the examination of possible violations of the standards for research, teaching, and appropriate behavior with colleagues and students that do not cross legal thresholds, such as behavior that is offensive but does not meet the standard for discrimination/harassment. The committee has an investigatory and reporting role.

2.21.2 Faculty Senate Committee on Reconciliation

The Committee on Reconciliation offers advice and counsel to faculty members who seek it, particularly in relation to disputes with immediate supervisors or university administrators. The committee has a designated role within the grievance process to assist in resolving disputes that are eligible for consideration as a grievance if so requested by the faculty member, and can help facilitate conversations between faculty members and their supervisors with the goal of reaching mutually agreeable solutions. Faculty members may also consult the committee regarding serious disagreements with immediate supervisors or other university administrators over issues that are not eligible for consideration within the grievance process. In contrast to the Faculty Review Committee, the Committee on Reconciliation operates informally as a facilitator, similar to the University Ombuds Office. It meets with the respective parties to determine if there is common ground for resolution of the matter, facilitating a solution that is agreeable to the principal parties and consistent with university policy and practice.

2.21.3 Faculty Senate Review Committee

The Faculty Review Committee oversees the movement of grievances through the grievance process as prescribed in the Faculty Handbook’s grievance process, provides faculty review of faculty grievances that are not resolved at the college level, and considers appeals in the promotion and tenure or continued appointment process when the provost does not concur with a positive recommendation from the University Committee on Promotion and Tenure or the University Committee on Promotion and Continued Appointment. The committee has an investigatory and reporting role.

2.22 Consulting Activities

Consult the Conflicts of Interest and Commitment website for information. The university recognizes that consulting work for external entities enhances the professional development of faculty members and provides channels for communication and outreach not otherwise available.

This policy differentiates between external consulting and professional service activities as follows:

External consulting is a professional activity related to an individual’s area of expertise, where that individual generally receives compensation from a third party and is not acting as an agent of the university. Consulting may take many forms, but the guiding principle is that, in consulting, a person agrees to use their professional capabilities to further the agenda of a third party in return for an immediate or prospective gain. Even in cases without compensation, advance approval is required to document the proposed external activities and to ensure they do not constitute a conflict of commitment, or a conflict of interest where gifts of equipment or donations to the faculty member’s laboratory may substitute for direct compensation. Provisions of the consulting policy also apply to external activities where the faculty member has a direct relationship to the external entity, such as personal or family ownership of the company. Consulting does not involve becoming an employee of the external entity.

Professional service includes service on national commissions, on boards of governmental agencies, on granting agency peer review panels, on visiting committees or advisory groups to other universities, on professional associations, and on analogous bodies. Professional service activities may involve a token honorarium and/or expense reimbursement. These activities are considered part of the faculty member’s institutional responsibilities for participation in the larger scholarly academic community. Participation in external professional service activities may require supervisor approval depending on departmental practice and expectations of the position. Annual leave is not required.

Consulting arrangements may be entered into by faculty members during periods of university employment provided that such advice is not part of their usual responsibility to the university and is not usually provided through Virginia Cooperative Extension, outreach programs, or other component of the university; the work undertaken contributes to their professional development; the work can be accomplished without interference with their assigned duties and does not ordinarily involve more than one day per week and does not exceed five days in any five-week period; university resources and facilities are not involved (except as described in Policy 5000, “University Facilities Usage and Events,” and in chapter two, “Use of University Facilities”).

All consulting activities, including those that do not exceed five days in any five-week period, must be documented and approved in writing in advance of the consulting activities. Approval is granted by the department head, chair, school director, or supervisor, and the dean, vice president, or senior management area as appropriate.

Faculty members must disclose and receive approval for all consulting activities including activities that occur within the one-day per week through five-days per five-week period. Department head, chair, school director, or supervisor approval is documented using the Disclosure and Management System on the website of the Office of the Vice President for Research and Innovation.

Faculty members whose appointments are funded in whole or in part by sponsored projects may participate in consulting when consistent with their responsibilities and in compliance with federal contract compliance and state regulations. University time available for consulting is in proportion to base salary funding from non-sponsored sources. With supervisor approval, additional consulting days may be charged to annual leave.

Consulting work should involve advisory services based on a faculty member's store of knowledge and experience in contrast to programs of research, development, or testing, which may interfere with the performance of the faculty member's duties or conflict with university interests.

In any faculty consulting arrangement, the name of the university must not be used in connection with any product or service developed as a result of such consulting nor in any connection arising out of the arrangement.

Paid consulting by faculty members is not permitted for work done for a group within the university. For example, if a faculty member advises or assists the principal investigator on a grant, there shall be no pay for the services. Such consulting is considered part of the usual duties of faculty members. Faculty members may be paid for participation in non-credit instruction or professional development offered through appropriate university units, in accordance with overload payment policies in the Faculty Handbook.

When a faculty member testifies as an expert witness, the following conditions apply: a disclaimer is given in court indicating that the faculty member is speaking as a professional and not as a representative of the university; when a faculty member is under subpoena, the university civil leave policies apply; and a faculty member may not testify in civil suits involving the Commonwealth of Virginia, except under subpoena.

Consult Policy 5000, “University Facilities Usage and Event Approval” for information. Except under the provisions specified in that policy, faculty members are not allowed to use university resources in conjunction with consulting or otherwise for private gain. This includes the parallel use of university facilities associated with consulting activities, i.e., when a faculty member is engaged in authorized consulting activities, the consulting employer may not enter into an agreement to use university resources for any purpose related to the consulting activity. Instead, when significant resources of the university are required, the employer may request that an agreement, grant, or contract be drawn up with the university that provides the necessary services, including Human Resources. The faculty member carries out the duties of the agreement as part of their assigned university duties. Because University Libraries facilities are made available to the public, their use in consulting is not regarded as being in contravention of this policy.

Because of the university’s land-grant mission, it may be in the best interest of the university to impose some additional restrictions on the consulting activity of the faculty of one or more of the colleges. Therefore, an academic dean, after consulting with their faculty, may recommend to the provost that the faculty of that college need to satisfy additional requirements for consulting approval. The provost, after consulting with the Commission on Faculty Affairs, and with the approval of the president and the Board of Visitors, may require that the faculty of the affected college satisfy such additional requirements.

Oversight of faculty consulting is a responsibility of the department head, chair, school director, or supervisor and other relevant administrative officers of the university so that a reasonable and appropriate level of external activities is maintained, by the faculty member and usual duties are not neglected.

A consulting request must be approved by the department head, chair, school director, or supervisor and dean and submitted through the Disclosure and Management System available on the website maintained by the Office of Research and Innovation.

Approval of consulting or other external activities for faculty members holding nine-month appointments is not necessary during the summer unless there is concern about conflict of interest, or the university employs the faculty member during the consulting period. When the university employs the faculty member in the summer months, university and college consulting policies apply.

Setting the consulting fee is the prerogative of the faculty member. The actual or estimated consulting income is reported on the request form to allow reviewers a full assessment of potential financial conflict of interest. Income received for consulting work is not considered when faculty members are evaluated for annual merit salary increases.

2.22.1 Consulting Activities for Virginia Cooperative Extension Faculty

Consistent with the university’s policy and procedures on consulting activities, additional restrictions may be imposed on the consulting activity of Virginia Cooperative Extension faculty members. These restrictions are imposed to give further assurance that consulting approval is not granted for assistance, that is the usual responsibility of faculty members within Extension. Information on consulting activities for Extension faculty is in chapter 14 of this handbook.

2.23 Virginia Tech Continuing and Professional Education Technical Assistance Program (TAP)

Contact Continuing and Professional Education, Technical Assistance Program (TAP) for information. Consulting agreements may be negotiated by the individual faculty member and the sponsoring organization, not involving university participation in any way, or they may be negotiated as part of a technical assistance agreement through the university. The technical assistance program was created as part of the university’s outreach mission to respond to requests from business and industry for the application of knowledge to a specific process-related or technical situation.

Proposals for technical assistance are small scale (generally less than $25,000), short-term, require a rapid response, and do not involve the generation of new knowledge or the development of intellectual property. (Projects involving the generation of knowledge and/or faculty buyouts must be handled as sponsored projects.) Continuing and Professional Education negotiates and administers contracts for technical assistance.

Technical assistance contracts typically identify the faculty member who will provide the needed expertise, the amount of time to be devoted to the project, the scope and estimated cost of the work, timelines for the consulting or project, and any required deliverables.

Payment to the faculty member for such consulting is negotiable and provided through university payroll. Faculty earnings for technical assistance agreements must be within the overall limitation of 33⅓ percent of annual income during the academic year for nine-month faculty members; summer earnings from all university sources are also capped at an additional 33⅓ percent for academic year faculty members. Faculty members on calendar year appointments may earn 33⅓ percent of annual income during the fiscal year. The earnings limitation is for payments from all university sources, including approved non-credit Continuing and Professional Education activities. Similarly, total time involved in technical assistance, other approved consulting, and non-credit teaching must be within the constraints of this policy.

For further information on technical assistance agreements, contact Continuing and Professional Education. A technical assistance agreement, completed and approved by the department head, chair, or school director, or supervisor and dean, substitutes for approval of a Request to Engage in External Activity Form 13010 usually required for approval of consulting.

2.24 Outside Employment and External Activities Other Than Consulting

Prior approval of the supervisor and relevant university official is required for outside employment that does not meet the definition or intent of the consulting policy. Approval is contingent on assurance that the primary commitment to Virginia Tech will be fulfilled and that the proposed employment does not constitute a conflict of interest. Release time from university work is not usually available for paid activities that are primarily personal in nature, do not enhance the faculty member’s professional skills, or that are not a potential benefit to the university. The faculty member must use pre-approved leave, or leave without pay, in cases where outside personal work creates a potential conflict with university responsibilities.

2.25 Political Activities

Candidacy for political office, political service on county and state commissions, and active participation in political campaigns are recognized as individual freedoms of each faculty member. The only restriction placed upon such activities is that they do not interfere with the faculty member's academic responsibilities. Faculty members must take care to ensure that their positions in the university are kept separate from their political activities; it must be clear that they act as citizens in such activities, not as representatives of the university. The university encourages interest in civic affairs. However, neither political nor community activities are considered in the annual merit evaluation of a faculty member. If income is obtained for such activities, approval must be first obtained under consulting policies.

2.26 Conflicts of Commitment

A conflict of commitment arises when the external activities of a faculty member are so demanding of time, attention, or focus that they interfere with the individual's responsibilities to the university.

Nothing in this policy statement shall be interpreted as interfering with the academic freedom of faculty members, nor with their primary responsibility to direct their own research.

Faculty members have traditionally been allowed wide latitude in defining their professional agendas and their degree of involvement in external activities when those activities advance the mission or prestige of the university. The university encourages active participation by faculty members in external activities that are integral to and/or enhance their professional skills and standing or that constitute substantive outreach and public service activities.

Such activities are usually expected of faculty members to promote academic development, and to enrich their contributions to the institution, their profession, the state, and national and world societies. Additionally, Virginia Tech encourages entrepreneurial activities by faculty, recognizing that such activities are critical to promoting economic development and meeting society’s needs, if participation in those activities complies with federal and state laws and policies, the Virginia Tech conflicts of interest policy, and these guidelines.

Faculty members should make the fulfillment of their responsibilities to the university the focal point of their professional effort. They are expected to arrange their external activities so that they do not impede or compromise their university duties and responsibilities. Responsibility for ensuring commitment to the university and for reporting activities that might be perceived as compromising that commitment rests with each faculty member in consultation with the department head, chair school director, or supervisor and dean, or relevant senior manager.

The university recognizes that the balance of external activities varies among individuals, from discipline to discipline, and from one type of proposed activity to another. That balance is affected by unit goals and changing needs for teaching, research, creative and artistic activities, Extension, service, and outreach. Primary duties and responsibilities may vary from year to year for individual faculty members. Undergraduate and graduate enrollment demands, faculty-staffing levels, and changes in the nature and scope of outreach, teaching, and research within the unit may affect the primary duties and responsibilities of individual faculty. The primary judgment as to whether a faculty member is meeting professional responsibilities to the unit rests with the department head, chair, school director, or supervisor and dean, or relevant senior manager.

If a faculty member is committed to engaging in an external activity that compromises their ability to meet university responsibilities, a leave of absence or a reduction in their percentage of employment may be appropriate or necessary. Approval of a leave request or change in appointment depends on the needs of the unit and college and protection of university interests.

If a department head, chair, school director and/or dean, observes that a faculty member appears to not be fulfilling their primary responsibilities to the university, the administrator shall immediately address these concerns with the faculty member to ensure that these responsibilities are adequately met. Failure to meet primary departmental and university obligations is handled through established university procedures appropriate to the situation (for example, formal reprimand, non-reappointment, post-tenure review, or dismissal for cause).

2.27 Conflicts of Interest

Consult Policy 13010, “Conflict of Interest” for information. A conflict of interest describes a situation in which an individual’s professional judgment is at risk of being biased by a secondary interest, resulting in possible harm or the implication of personal gain. Having a COI does not mean the person is biased or has done something wrong – the term refers to the risk of bias, whether or not bias or harm have actually occurred. A COI assessment is a factual evaluation based on the existence of certain parameters that could lead to biased judgement or inappropriate personal gain in university operations such as research, contracting, or purchasing. State law and federal research regulations allow for certain conflicts of interest when specified conditions are met, as outlined in this policy.

Virginia Tech recognizes the value and necessity of engaging with external entities to translate research into beneficial products. Transparency and appropriate oversight of relationships with external entities promotes and safeguards the interests and reputation of Virginia Tech and its employees. Transparency and appropriate oversight also assure research sponsors, participants, and the broader public that possible personal gain has not influenced or biased research or decision-making around other university activities.

Policy 13010 “Conflict of Interest” summarizes professional conduct standards that relate to objectivity and provides the basic framework for disclosing financial interests to ensure university-wide compliance with COI directives. It also establishes standards that provide a reasonable expectation that the design, conduct, and reporting of research will be free from bias resulting from an Investigator’s financial conflict of interest (FCOI).

Because financial interests might stem from an additional commitment other than one’s Virginia Tech employment, this policy must be read in conjunction with section 2.22 Consulting Activities, and section 2.24 Outside Employment and External Activities Other than Consulting, and Policy 4070, Additional/Outside Employment Policy for Salaried Classified and University Staff.”

Policy 13010 Conflicts of Interest primarily focuses on the disclosure of financial interests, conflicts of interest can be present in many aspects of university business; therefore, this policy should be read in conjunction with other relevant policies related to professional conduct standards and objectivity, including the university's Statement of Business Conduct Standards. All employees must acknowledge receipt and agree to adhere to the standards in accordance with established university policies and procedures. See the Conflicts of Interest and Commitment website maintained by the Research Conflict of Interest Program for a list of other Virginia Tech policies that touch on conflicts of interest more broadly.

2.27.1 Conflicts of Interest Involving Spouses, Immediate Family Members

As a matter of state law, employees must avoid being in a position of authority over a spouse or a member of the immediate family who is also employed by the university where the spouse or family member earns $5,000 or more during a fiscal year. An employee and their spouse or another member of the immediate family may both be employed by the university so long as the employee does not exercise any control over the employment conditions and activities (such as initial appointment, retention, promotion, tenure, salary, travel approval, leave of absence, or grievance review) of the spouse or immediate family member and is not in a position to influence those activities. Proposed exceptions and alternate reporting relationships are reviewed and approved by the executive vice president and provost (or relevant vice president for a non-academic appointment) prior to submission to the Board of Visitors for approval.

2.27.2 Participation of and Payment to Students

Policy 13010 outlines Financial Conflict of Interest Management to Promote Objectivity in Research. The management plan is designed to mitigate the conflict, promote research objectivity, and provide academic and professional protection for graduate and professional students, and postdoctoral scholars respectively (see section 3.2.2.2 of Policy 13010).

The participation of students in projects involving faculty-owners should be given particularly careful consideration. Work for faculty-owned companies or in faculty consulting provides valuable experience for undergraduate and graduate students. Nevertheless, such opportunities come with some risk that the student may be diverted from their educational goals or the perception that students are being used primarily for the benefit of those companies. For example, a faculty member who pressures a student to complete work related to the faculty member’s company could easily affect the student’s completion of graduate studies in a timely and appropriate way, thereby putting the faculty member’s interest in obtaining proprietary results ahead of the student’s academic or scholarly research activities. The concern is similar for the involvement of students in faculty consulting or other external activities. The risks and benefits of such involvement must be carefully weighed by departmental administrators responsible for evaluating the disclosure and approving the request, particularly where the involvement may be longer term and/or more time-consuming.

Where approved, students may be paid for involvement in faculty-owner activities in either of two ways. Remuneration may be in the form of an assistantship and tuition, or wages funded by a sponsored project contracted to the university from the business or organization with which the faculty-owner is associated. The assistantship or wages are remuneration for work only within the agreed scope of that funded project and for no other tasks undertaken for the benefit of the external organization. This is no different from any other sponsored project that involves graduate research assistants or wage-earning students. In these circumstances, assistantships are constrained to payments within the scales published by the university. Alternatively, the company or agency might engage students directly as employees. This is the situation experienced by most off-campus and part-time graduate students. However, it is envisaged that in the case of faculty-owned businesses, students will spend time in university facilities when not engaged in direct work for the company at the company site or in an off-campus location. (Students may not do work on behalf of the company in university facilities.) Remuneration is not limited to university scales when students are employed directly by the company and may include the cost of tuition.

Students who will be employed by either of the two methods of payment and have their research supervised by the faculty-owner must sign an agreement acknowledging that they have been informed by their graduate program director or department head, chair, or school director, or supervisor, and associate dean about the source of their funding, the potential concerns associated with conflict of interest, and their channels for redress if needed.

Any work done on behalf of the faculty-owner’s company in university facilities must be done in accordance with sponsored program guidelines and/or Policy 5000 “University Facilities Usage and Events Approval.”

2.27.3 Disclosure Requirements for All Employees

As outlined in Policy 13010 employees must disclose to Virginia Tech when they or an immediate family member have a financial interest in a contract, a transaction, such as a purchase, or sponsored project to which Virginia Tech is a party prior to the time at which the contract is entered into. This is an employee-initiated disclosure.

Disclosure to the Commonwealth of Virginia is required by Virginia Tech for certain employees or when they have an approved exception for a financial interest in a business that is a party to a contract/transaction with Virginia Tech. See section 2.27.3.3.

2.27.3.1 Disclosure Requirements for Research Investigators

Investigators on sponsored research projects must disclose financial interests at the time of proposal submission and throughout the life of the award, as outlined in Policy 13010 for the university, through its designated institutional official, to identify and manage financial conflicts of interest to promote objectivity in research. The director of the Research Conflict of Interest Program (or designee) is the designated institutional official responsible for making financial conflicts of interest determinations.

Section 3.2.2.2 of Policy 13010 outlines Financial Conflict of Interest (FCOI) Management to Promote Objectivity in Research. If the designated institutional official determines that an FCOI exists, they will develop a plan for managing the FCOI that must be adopted prior to the start of the research. If an FCOI is determined to exist when the research is ongoing, sponsored project funding might be frozen until a management plan is accepted by the Investigator. The designated institutional official will develop the management plan based on state and federal requirements and input from the MPAC, the Investigator with an FCOI, and other relevant stakeholders, as needed. The management plan is designed to mitigate the conflict, promote research objectivity, and provide academic and professional protection of graduate students and postdoctoral scholars, respectively. Mitigations will be based on a risk assessment of the COI scenario.

2.27.3.2 Training on Disclosures for Research Investigators

Investigators must complete research COI training before engaging in sponsored research, at least every four years. Although the four-year training requirement is Public Health Service (PHS)-specific, Virginia Tech applies the same disclosure and management principles to all Investigators engaged in sponsored research, regardless of sponsor; therefore, the training requirement applies to all Investigators on sponsored research projects. Investigators will be notified when their training requirement is due.

2.27.3.3 Disclosure Requirements to the Commonwealth of Virginia

Chapter 31 of Title 2.2 of the Code of Virginia outlines the Commonwealth’s State and Local Government Conflict of Interests Act (the Act). Disclosure to the Commonwealth is required by Virginia Tech employees when they 1) are designated by Human Resources as being in a position of trust, or 2) have an approved exception for a financial interest in a business that is party to a contract/transaction with Virginia Tech. Disclosure is required annually on the form prescribed by the Virginia Conflict of Interest and Ethics Advisory Council. See Policy 13010 and the Act for additional information.

2.27.3.4 Training on Disclosures to the Commonwealth for Certain Employees

Chapter 31 of Title 2.2 of the Code of Virginia outlines the Commonwealth’s State and Local Government Conflict of Interests Act (the Act) requires that certain Virginia Tech employees must take training and disclose financial interests to the Commonwealth of Virginia that they or an immediate family member hold. Training for Statement of Economic Interests (SOEI) filers is provided by the Virginia Conflict of Interest and Ethics Advisory Council and is required initially and every two years. Note that this requirement is in addition to the Virginia Tech-specific COI training required for Investigators on sponsored research projects. SOEI filers must continue to disclose financial interests to Virginia Tech and take research COI training, as needed.

2.28 Workplace Policies

The following are summaries of selected, frequently referenced university policies and procedures pertaining to faculty. These summaries are intended to notify the reader of the existence of a formal policy and where to locate more information. The university policy library is the official repository of university policies.

2.28.1 Indemnity

All university employees, while acting within the course and scope of their employment, are covered by the commonwealth’s insurance plan, and will be defended by the Office of the Attorney General in actions brought against them. Questions concerning any specific situation should be addressed to the Office of the University Legal Counsel.

2.28.2 Standards for Acceptable Use of Information Systems and Digital Media Communications Tools

Consult Policy 7000, “Acceptable Use and Administration of Computer and Communication Systems” governs acceptable use of information systems at Virginia Tech. University employees may not use university systems for partisan political purposes including the use of electronic mail to circulate advertising for political candidates.

Access to computer systems and networks owned or operated by Virginia Tech imposes certain responsibilities and obligations and is granted subject to university policies, and local, state, and federal laws. Acceptable use is always ethical, reflects academic honesty, and shows restraint in the consumption of shared resources. It demonstrates respect for intellectual property, ownership of data, system security mechanisms, and individuals’ rights to privacy and to freedom from intimidation, harassment, and unwarranted annoyance.

Policy 7000 applies to the use of any computing or communications device, regardless of ownership, while connected to the university network, and the use of any information technology services provided by or through the university. Every user of these systems and services is expected to know and follow this policy. Refer to Acceptable Use of Information Systems at Virginia Tech that details what are acceptable and not acceptable use of university resources. In making acceptable use of resources, you must NOT, if you are an employee, use University systems for partisan political purposes, such as using electronic mail to circulate advertising for political candidates.”

University entities or individuals may, as needed, use digital communication tools to communicate with groups of university constituents on matters of official university business that require immediate notification or that are of a sufficient level of importance to warrant special attention. Any such group communications to employees, students, or others must be compliant with all regulations and university policies and should be limited to those matters that affect the majority of the defined group. Text messaging may be used but must not be the sole means of communicating an essential message or announcement. The text message must be supplemented by some other means of communication, e.g. an email or paper notice to ensure that all intended recipients, including those without a mobile phone, receive the message.

2.28.3 Privacy of Electronic Communications

Department of Human Resource Management Policy 1.75 of the Commonwealth of Virginia states, “no user shall have any expectation of privacy in any message, file, image or data created, sent, retrieved, received, or posted in the use of the commonwealth’s equipment and/or access.” Policy 7035, “Privacy Policy for Employees’ Electronic Communications,” defines the balance between the university’s business needs and respect for employees’ freedom of inquiry. The policy guides the actions of managers in certain situations and clarifies expectations for all employees about when and how the university may access employees’ communications.

Virginia Tech requires all employees to obey applicable policies and laws in the use of any computing device, regardless of ownership, while connected to the university network. (See Policy 7010, "Policy for Securing Technology Resources and Services.")

The university does not routinely monitor or access the content of electronic communications, computer files, or voicemail of its employees, whether stored on university equipment or in transit on the university network. Content of employees’ electronic communications or files are not accessed during the execution of routine systems support, network performance, and related security functions.

However, monitoring or access may be necessary under certain circumstances. Legal or administrative circumstances where monitoring and/or access may occur without further authorization are communications or files required to be released by law, by orders of a court, or requested in accordance with the Virginia Freedom of Information Act; approved internal audit reviews; resolution of technical problems, emergency situations involving an imminent threat of irreparable harm to persons or property; and resources assigned to a group or publicly available to any user.

2.28.4 Social Media

Virginia Tech recognizes the value of social media platforms for a range of goals and must balance its support of social media with the preservation of Virginia Tech’s brand identity, integrity, and reputation. The university authorizes the creation and use of university social media accounts, provided their use is professional, protects the reputation and brand of the university, aligns with university priorities, and complies with other Virginia Tech policies and applicable state and federal laws and regulations, and is guided by the Virginia Tech Principles of Community. Policy 1030, “Social Media Policy”, outlines the obligations, processes, and procedures for the use of social media.

2.28.5 Crowdfunding

Generally, crowdfunding is the practice of funding a project or campaign by soliciting relatively small donations of money from a large number of people, typically via the Internet. The university’s crowdfunding website provides crowdfunding guidelines, including the application process, best practices, and team roles and responsibilities. Policy 12100, “Policy on Coordination of Private Fundraising” provides guidance on using crowdfunding.

2.28.6 Stewardship of Resources and Internal Controls

It is the university’s policy to maintain a robust system of internal controls in order to safeguard assets, identify and correct errors and irregularities in the financial records on a timely basis, and to enhance compliance with university policies and procedures and applicable laws and regulations. The establishment, maintenance, and evaluation of an organization's system of internal controls is the responsibility of management and creates the foundation for sound business practices within an ethical environment. It is also university policy to assess the effectiveness of the system of internal controls through periodic reviews by management and the services of external and internal auditors.

Policy 3010, “Internal Controls” applies to all university faculty, staff, and wage employees, hereafter referred to as “employees.” All university employees play a key role in ensuring that the high standards of business and ethical practices and the good stewardship of university resources are adopted in the performance of their duties at Virginia Tech. The establishment of strong internal controls echoes the principles of professional and personal integrity found in the university’s Statement of Business Conduct Standards which requires all employees to be fair, ethical, and honest in all internal and external business dealings and to comply with university policies and procedures and applicable laws and regulations.

2.28.7 Use of University Facilities

Consult Policy 5000 “University Facilities Usage and Events Approval” and Policy 6362 “Policy on Continuing and Professional Education.”

The facilities of the university are intended for the use of its faculty, staff, students, and invited guests participating in university-approved programs and activities, sponsored by or under the direction of the university or one of its related agencies or approved organizations, or by other organizations outside the university. Refer to Policy 5000, “University Facilities Usage and Events Approval”, for further guidance regarding approved uses of university facilities. Policy 6362, “Policy on Continuing and Professional Education”, requires that academic colleges, centers, and administrative units designing and delivering continuing and professional educational activities, both on- and off-campus, under the auspices of the Virginia Tech brand must work through Continuing and Professional Education. This includes work conducted by faculty in Blacksburg, as well as faculty delivering continuing education programs at university locations outside Blacksburg. Alternate arrangements may be made in the case of lack of availability of appropriate space or mutual agreement between the sponsoring university entity and Continuing and Professional Education.

University facilities are to be used in a manner consistent with their intended purpose. Priority of use is given to those activities related to the mission of the university. The facilities must be used in a safe, professional manner so as not to endanger the university community or the general public. The university may restrict access to land and buildings to protect individuals, property, and equipment.

The vice president for campus planning, infrastructure, and facilities is responsible for implementing policies and procedures about university facilities, including academic buildings.

Requests for use of rooms in The Inn at Virginia Tech and Skelton Conference Center are submitted to The Inn’s space reservationist. Requests for use of the residence halls follow procedures outlined in Policy 5010 “Residential Camps, Conferences, and Workshops.”

Faculty and staff are not allowed to use university resources for private gain. However, under the following conditions, the compensated use of specialized facilities or equipment is allowed in support of approved consulting activities:

The facility or equipment must have a charge rate, established by the Controller’s Office, which reflects all direct and indirect costs associated with the use of the facility or equipment and applies to use by parties outside the university. The charge rate is applied to the actual use.

A Request to Engage in Outside Activities must be filed with the Online Disclosure and Management System specifying the facility or equipment to be used and estimating, in time or charges, the extent of the proposed use. The director, department head, chair, school director, or supervisor of the department responsible for the facility or equipment verifies, on the Request to Engage in External Activity Form 13010A, that the proposed use does not interfere with, or have priority over, anticipated university use of the facility or equipment.

In approving the Request to Engage in Outside Activities, the faculty member’s department head, chair, school director, or supervisor and dean or vice president (and provost, when appropriate) determine that the consultation is of substantial professional merit and presents no conflict of interest in the use of the facilities or equipment. Particular care is given to the relationship of the consultation with current or potential grants or contracts and to the possibility of unfair competition with local firms and businesses.

If an employee uses equipment of a specialized service center, the employee is charged the “commercial” or “consulting” rate, as determined by the Controller’s Office. The employee is billed based on actual use. The deposit is credited to the appropriate service center account established by the Controller’s Office.

If the faculty member uses facilities such as those of the Virginia Tech athletic department, Moss Arts Center, or Student Engagement and Campus Life venues, the employee is charged at a rate established by the Controller’s Office for such use. The deposit is made to the appropriate venue account.

For facilities other than specialized service centers, or other facilities for which a charge rate has been determined, the use of the facilities must be authorized and reimbursed at a rate determined by the collaboration of the employee’s department head, chair, school director, or supervisor and the Controller’s Office.

The use of University Libraries facilities in connection with consulting is exempt from the above regulations since those facilities are available to the public.

2.28.7.1 University Space Management

Policy 5400, “University Space Management”, which describes the formal decision-making and allocation approach to university space management, including all space and land owned or leased by the university. Through this formalized process, the university has the authority and responsibility to allocate space to specific users through organizational hierarches for certain periods of time, to review those allocations periodically, to assess their utilization, and to reallocate as needed to support the university’s strategic goals. The policy provides principles that govern the distribution of classroom and lab space scheduling and applicable roles and responsibilities.

2.28.8 Operation of Autonomous Aircraft

Proper operation of unmanned aircraft systems (UAS) on campus and procedures for reporting any incidents is regulated in Policy 5820, “Operation of Unmanned Aircraft Systems (UAS)”. The Policy governs (i) the operation of UAS on or over University Facilities, which include the university campus and property owned, rented, leased, and controlled by the university, (ii) the operation of university-owned UAS, and (iii) the operation of UAS by university personnel for university.

2.28.9 Domestic and International Travel

Consult the website of the Office of the Controller for information. The university encourages faculty to pursue endeavors that will enhance their professional development and benefit university programs. For details on travel-related business expenses and travel reporting procedures, refer to Controller’s Office Procedures 20335A: Travel Overview. Consult Policy 1070 “Global Travel Policy”. The university strongly encourages all members of the university community who are contemplating travel abroad for education, research, or other purposes to plan well in advance and to take precautions to ensure a safe trip.

2.28.10 Use of University Letterhead

As a primary identifier of the university, letterhead should only be used for appropriate university business. As such, university letterhead is not to be used for personal business or where personal gain results. Avoid endorsements of political personages, businesses, or products when using university letterhead. Discretion is advised if correspondence on university letterhead could be construed as a university endorsement.