About the College Handbook

What is the Rhodes College Handbook?

The documents enclosed provide you with an online reference for information you need to know as a Rhodes employee.

Is the Rhodes College Handbook a contract?

The Rhodes College Handbook does not constitute contractual material unless you have an individual, written contract with the College. Some employees of the College, such as faculty members and employees with special appointments, have written, individual employment agreements or contracts with the College. For these members of the campus community, the Rhodes College Handbook includes contractual material according to the specifications designated in the written contract.

If you are an employee of the College without an individual, written contract, then your employment relationship with Rhodes is "at will." In other words, both you and Rhodes are free to terminate your employment at any time with or without notice. Therefore, this handbook does not constitute a contract of employment, nor should it be construed to create a contract with the College.

Regardless of the nature of your employment agreement with the College, the information in the Rhodes College Handbook affects everyone in an interdependent community like Rhodes, and all employees of the College must familiarize themselves with its contents.

What should I do if the material in the Rhodes College Handbook appears to be in error?

For the Rhodes College Handbook to be a useful resource, the information must be current and accurate. If you identify information or policies that need correction or updating, please contact the administrative officer to whom you report. Your administrative officer will submit corrections and updates to the appropriate member of the President′s Staff for approval.

Rhodes College aspires to graduate students with a lifelong passion for learning, a compassion for others, and the ability to translate academic study and personal concern into effective leadership and action in their communities and the world. We will achieve our aspiration through four strategic imperatives:

1. Student Access
   To attract and retain a talented, diverse student body and engage these students in a challenging, inclusive and culturally-broadening college experience.
2. Student Learning
   To ensure our faculty and staff have the talent, the time and the resources to inspire and involve our students in meaningful study, research and service.
3. Student Engagement
   To enhance student opportunities for learning in Memphis.
4. Student Inspiration
   To provide a residential place of learning that inspires integrity and high achievement through its beauty, its emphasis on values, its Presbyterian history, and its heritage as a leader in the liberal arts and sciences.

Adopted by the Rhodes Board of Trustees January 17, 2003.

THE VISION FOR RHODES COLLEGE

Rhodes College (“College”) aspires to graduate students with a life-long passion for learning, a compassion for others, and the ability to translate academic study and personal concern into effective leadership and action in their communities and the world.

BOARD OF TRUSTEES

Section 1. Board of Trustees. In accordance with its Amended and Restated Charter, the College shall have no members. All corporate powers shall be exercised by or under the authority of, and the affairs of the College managed under the direction of, its Board of Trustees (the “Board”), consisting of Voting Trustees and Non-Voting Trustees. Pursuant to the Amended and Restated Charter of the College, the Voting Trustees shall constitute the governing board of the College.

Section 2. Number, Tenure and Qualifications. The Board shall consist of between twenty (20) and thirty (30) regular voting Trustees (the “Voting Trustees”) and the ex-officio and non-voting members of the Board. Members of the Board need not be residents of the state of Tennessee. The number of Voting Trustees may be fixed or changed from time to time, within the minimum and maximum, by the members of the Board; provided, however, that a decrease in the number of Voting Trustees shall not shorten an incumbent Voting Trustee's term. Voting Trustees shall be elected at any regular or special meeting by a majority vote of the incumbent Voting Trustees of the College, and shall assume office beginning with the fall meeting of the Board following their election or as otherwise determined by the Board, and serve for a term of three (3) years or until their successors are elected and qualified. Voting Trustees may not be elected for more than three (3) consecutive three-year terms. At least twelve (12) months must have elapsed before any Voting Trustee having served three consecutive three-year terms may be elected for another such term. Voting Trustees whose terms of office are expiring shall be entitled to participate in the election of their successors. Despite the expiration of a Voting Trustee’s term, he or she shall continue to serve either until his or her successor is elected and qualified or until there is a decrease in the number of Voting Trustees. 

Section 3. Ex-Officio and Non-Voting Trustees. The President of the College shall be an ex-officio, non-voting member of the Board. In addition, three (3) full-time members of the College faculty (the “Faculty Trustees”) and three (3) students in good standing at the College (the “Student Trustees”) shall be non-voting members of the Board. Faculty Trustees shall be elected by the faculty governing body in a manner determined by such body, subject to the approval of the Board. Faculty Trustees shall be elected for a term of three (3) years. Student Trustees shall be elected by the student governing body in a manner determined by such body, subject to the approval of the Board. Student Trustees shall be elected for a term of one (1) year. Faculty Trustees and Student Trustees shall assume office beginning with the fall meeting of the Board following their election.  Despite the expiration of a Faculty Trustee’s or Student Trustee’s term, he or she shall continue to serve until his or her successor is elected and qualified or there is a decrease in the number of Faculty Trustees or Student Trustees, as the case may be.

Section 4. Resignation of a Voting Trustee, Faculty Trustee or Student Trustee. A Voting Trustee, Faculty Trustee or Student Trustee may resign at any time by delivering written notice to the Chair of the Board, the President, or to the College. A resignation shall be effective when the notice is delivered unless the notice specifies a later effective date. A vacancy created by a resignation that will occur at a specific later date may be filled before the vacancy occurs, but the new Voting Trustee, Faculty Trustee or Student Trustee may not take office until the vacancy occurs. 

Section 5. Removal of Voting Trustees, Faculty Trustees or Student Trustees. Any member of the Board may be removed for any one or more of the following reasons: dereliction of duties and responsibilities incident to Board membership; an unresolved conflict of interest; mental or physical incapacity; moral turpitude; financial malfeasance; fraudulent or illegal conduct, and, in addition, in the case of a Faculty Trustee or Student Trustee, if such Faculty Trustee shall retire or no longer be employed by the College or if such Student Trustee is no longer in good standing at the College. When it becomes necessary to seek the removal of a member of the Board, the Chair of the Board shall, after consultation with and the approval of, the Agenda Committee, prepare a written statement outlining the circumstances and facts germane to the matter and shall send such statement by certified mail to the member whom the Agenda Committee is seeking to remove. Such member shall have fourteen (14) calendar days to send a written response to the Chair and shall be entitled to be heard at a regular meeting of the Board or at a special meeting called for that purpose and attended by a quorum. Any such removal must be approved by the affirmative vote of a majority of the then acting Voting Trustees.  Any vacancy in the Board caused by removal, death, resignation or an increase in the number of Voting Trustees by reason of amendment of these By-Laws shall be filled as specified in Section 6 of this Article II.

Section 6. Vacancies. Any vacancy occurring on the Board may be filled by the body which originally elected the Voting Trustee, Faculty Trustee or Student Trustee, as the case may be, in the manner provided in Section 2 or 3, as applicable. A Voting Trustee, Faculty Trustee or Student Trustee elected to fill a vacancy shall be elected for the maximum number of complete consecutive terms provided by these By-Laws for such member.

Section 7. Regular Meetings of the Board. Regular meetings of the Board may be held at such time and place as the Board shall from time to time determine. The Board shall permit any or all of the Board members to participate in a regular meeting by, or conduct the meeting through the use of, any means of communication by which all of the Board members participating may simultaneously hear each other during the meeting. A Board member participating in a meeting by this means shall be deemed to be present in person at the meeting.

Section 8. Annual Meeting of the Board. The annual meeting of the Board shall be the Spring meeting and shall be held in or out of the state of Tennessee on the date selected by the Voting Trustees. The annual meeting may be conducted through the use of any means of communication by which all Board members participating may simultaneously hear each other during the meeting. A Board member participating in a meeting by this means is deemed to be present in person at the meeting.

Section 9. Special Meetings of the Board. The Board may hold special meetings in or out of the state of Tennessee, and such meetings may be called by the Chair, the President or any two (2) Voting Trustees. The Board shall permit any or all of the Board members to participate in a special meeting by, or conduct the meeting through the use of, any means of communication by which all of the Board members participating can simultaneously hear each other during the meeting. A Board member participating in a meeting by this means shall be deemed to be present in person at the meeting. 

Section 10. Notice of Meetings of the Board. Regular meetings of the Board shall be held without notice. Special meetings of the Board shall be preceded by at least two (2) days' notice to each Board member of the date, time and place of the meeting. The notice need not describe the purpose of the special meeting; provided, however, that any Board action to remove a Board member, to approve a matter which would require approval by members if the College had members, or to amend these By-Laws in accordance with Article VI, Section 1, shall not be valid unless each Board member is given at least fourteen (14) days' written notice that the matter will be voted upon at a meeting of the Board or unless notice is waived pursuant to the provisions of Article II, Section 12 of these By-Laws. Notice of an adjourned meeting need not be given if the time and place to which the meeting is adjourned are fixed at the meeting at which the adjournment is taken and if the period of adjournment does not exceed one (1) month in any one (1) adjournment. 

Section 11. Action Without Meeting. Action required or permitted to be taken by the laws of the state of Tennessee at a meeting of the Board may be taken without a meeting. If all the Voting Trustees consent to taking such action without a meeting, the affirmative vote of the number of Voting Trustees that would be necessary to authorize or to take such action at a meeting shall be the act of the Board. The action must be evidenced by one (1) or more written consents describing the action taken, signed by each Trustee in one (1) or more counterparts, indicating each signing Trustee's vote or abstention on the action, and included in the minutes or filed with the corporate records reflecting the action taken. Action taken under this Section shall be effective when the last Trustee signs the consent, unless the consent specifies a different effective date. A consent signed under the Section shall have the effect of a meeting vote and may be described as such in any document.

Section 12. Waiver of Notice. A Board member may waive any notice required by these By-Laws, the Amended and Restated Charter, or by any provision of the laws of the state of Tennessee, before or after the date and time stated in the notice. The waiver must be in writing, signed by the Board member entitled to the notice, and filed with the minutes or corporate records. In addition, a Board member’s attendance at or participation in a meeting waives any required notice to him or her of the meeting unless the Board member at the beginning of the meeting (or promptly upon his or her arrival) objects to holding the meeting or transacting business at the meeting and does not thereafter vote for or assent to the action taken at the meeting.

Section 13. Quorum and Voting. Except as otherwise provided by the laws of the state of Tennessee, the Amended and Restated Charter or these By-Laws, a quorum of a Board consists of a majority of the Voting Trustees in office immediately before a meeting begins. When a quorum is once present to organize a meeting, a meeting may be later adjourned despite the absence of a quorum caused by the subsequent withdrawal of any of those Board members present. If a quorum is present when a vote is taken, the affirmative vote of a majority of the Board members present is the act of the Board unless the laws of the state of Tennessee, the Amended and Restated Charter or By-Laws require the vote of a greater number of Board members. A Voting Trustee who is present at a meeting of the Board when corporate action is taken shall be deemed to have assented to the action taken unless: (i) he or she objects at the beginning of the meeting (or promptly upon his arrival) to holding it or transacting business at the meeting; (ii) his or her dissent or abstention from the action taken is entered in the minutes of the meeting; or (iii) he or she delivers written notice of his dissent or abstention to the presiding officer of the meeting before its adjournment or to the College immediately after adjournment of the meeting. The right of dissent or abstention shall not be available to a Voting Trustee who votes in favor of the action taken.

Section 14. Council of Emeriti Trustees. The Board may elect any number of individuals to the Council of Emeriti Trustees (the “Council”), as it, in its sole discretion, deems appropriate. The purpose of the Council is to advise the Chair of the Board and President on matters pertaining to the College. The Board in its sole discretion shall determine the term of any member of the Council. A member of the Council may resign at any time by delivering a written notice to the Board Chair, President, or to the College. A resignation shall be effective when the notice is delivered unless the notice specifies a later date. Members of the Council serve at the pleasure of the Board, and any member of the Council may be removed by the Board at any time with or without cause.
 

OFFICERS

Section 1. Officers. The College shall have a Chair of the Board, a Vice-Chair, a President and a Secretary. The Board, or a duly appointed officer if authorized by the Board, may also elect additional officers, each of whom shall have the authority and shall perform the duties prescribed by the Board or a duly appointed officer if authorized by the Board. The same individual may simultaneously hold more than one (1) office in the College, except the offices of President and Secretary. Officers shall be nominated by the Board committee responsible for trusteeship matters, or in the absence of same, by the Agenda Committee, and elected by the Board at its annual meeting or at any regular or special meeting of the Board. Despite the expiration of an officer's term, he or she shall continue to serve until his or her successor is appointed and qualified. An officer may resign at any time by delivering his or her resignation to the College. A resignation shall be effective when delivered unless it specifies a later effective date. If a resignation is made effective at a later date and the College accepts the future effective date, the Board may fill the pending vacancy before the effective date if the Board provides that the successor shall not take office until the effective date. Subject to any applicable contract rights, the Board may remove any officer at any time with or without cause, and any officer or assistant officer, if appointed by another officer, may likewise be removed by such officer. The appointment of an officer does not itself create contract rights, and an officer's removal shall not affect the officer's contract rights, if any, with the College. An officer's resignation shall not affect the College's contract rights, if any, with the officer. 

Section 2. Term and Duties of Chair and Vice-Chair of the Board. The Chair of the Board shall preside at all meetings of the Board, and in the absence of the Chair, the Vice-Chair shall preside at any such meeting. Additionally, the Chair shall have the authority to select the chairs of Board committees, determine the membership of such committees, create ad hoc Board committees for such limited purposes as the Chair may determine, and have such other duties and responsibilities as the Board may, from time to time, determine. The Vice-Chair shall have such duties and responsibilities as he or she and the Chair may, from time to time, determine. The Chair shall serve for an initial term of three (3) years or until his or her successor is elected and qualified. Sixty (60) days prior to the end of the Chair’s initial term or such other time as circumstances may require, the Board committee responsible for trusteeship matters, or in the absence of same, the Agenda Committee, shall perform an intentional review of the initial term of the Chair and, upon the recommendation to the Board, the Chair may be elected for another three (3) year term by the Board. Sixty (60) days prior to the end of the Chair’s second term, or such other time as circumstances may require, and upon the determination by the Board committee on trusteeship matters or, in the absence of same, the Agenda Committee, that extenuating circumstances exist, the Board, in its sole discretion, may appoint the Chair to serve for up to an additional two (2) consecutive one-year terms following such two (2) consecutive three-year terms.

The Vice-Chair shall serve for an initial term of two (2) years or until his or her successor is elected and qualified, and may be elected by the Board for another two (2) year term thereafter. Sixty (60) days prior to the end of the Vice-Chair’s second term, or such other time as circumstances may require, and upon the determination by the Board committee on trusteeship matters or, in the absence of same, the Agenda Committee, that extenuating circumstances exist, the Board, in its sole discretion, may appoint the Vice-Chair to serve for an additional one (1) year term following such two (2) consecutive two-year terms.

Section 3. Duties of President. The President shall sign and execute all contracts in the name of the College, when authorized to do so by the Board; he or she shall appoint and discharge agents and employees, subject to approval of the Board; and he or she shall have the authority to generally manage the business and affairs of the College and perform all the duties incidental to the office.  

Section 4. Duties of the Secretary. The Secretary shall keep the minutes of the meetings of the Board; he or she shall authenticate records of the College; he or she shall attend to the giving and serving of all notices of the College as required of him or her; he or she shall have charge of the minute book and such other records of the College as the Board may direct; he or she shall attend to such correspondence as may be assigned to him or her, and perform all duties incidental to the office.

COMMITTEES

Section 1. Committees. The Board, by resolution adopted by a majority of the Voting Trustees in office, may designate and appoint one or more committees, which committees, to the extent provided in said resolution, shall have and exercise the authority of the Board in the management of the College, as so designated by the Board. However, no such committee shall have the authority of the Board in reference to approving dissolution, merger or the sale, pledge or transfer of all or substantially all of the College’s assets; electing, appointing, or removing any member of the Board or filling vacancies on the Board or any of its committees; or adopting, amending or repealing the Amended and Restated Charter or By-Laws of the College. The designation and appointment of any such committee and the delegation thereto of authority shall not operate to relieve the Board, or an individual member of the Board, of any responsibility imposed on it or him or her by law. Committees shall at all times remain subject to the control and supervision of the Board. Except as otherwise provided in these By-Laws or prohibited by the Tennessee Nonprofit Corporation Act, committees may include persons who are not members of the Board.

Section 2. Standing Committees. There shall be the standing committees specified in Section 5 of this Article IV and any standing committees designated and appointed by the Board by resolution and adopted by a majority of the Voting Trustees then in office. 

Section 3. Special and Ad Hoc Committees. The Board may, by resolution adopted by a majority of the Voting Trustees then in office, designate and appoint one or more special committees established for the purpose of discharging particular duties. The Chair of the Board may appoint ad hoc committees for such purpose(s) as the Chair may determine.

Section 4. Discontinued Committees. The Board may discontinue any committee from time to time and the duties of any committee so discontinued shall be performed during such discontinuance by the Agenda Committee or the Board.

Section 5. Descriptions of Standing Committees.  

Agenda Committee.

(a) The Agenda Committee shall consist of the Chair of the Board, the Vice-Chair, the President ex officio, the Secretary and the chairs of all committees and sub-committees of the Board. The Chair of the Board shall serve as the Chair of the Agenda Committee.  

(b) The Agenda Committee shall plan and guide Board processes and conduct, and shall develop agendas, formats, and schedules for meetings and other Board events, including social gatherings and periodic retreats.

(c) Between meetings of the Board, the Agenda Committee shall have supervision of the administration and property of the College except and unless specifically not empowered by the Board to do so. It may not take any action inconsistent with a prior act of the Board or provisions of the By-Laws. It may not take any action which has been reserved to and/or limited by the Board, by the Amended and Restated Charter, the By-Laws, the Tennessee Nonprofit Corporation Act or by Board action. In the absence of limitations imposed herein, the Agenda Committee shall have and exercise all the powers of the Board and the management of the business affairs of the College when the Board is not in session.

(d) At every meeting of the Board, the proceedings and actions taken by the Agenda Committee since the last meeting of the Board shall be reported to and ratified by the Board.

Section 6. Term of Office. Each member of a committee shall continue as such until the next annual meeting of the Board or until his or her successor is appointed, unless the committee shall be sooner terminated, or unless such member be removed from such committee, or unless such member shall cease to qualify as a member thereof.

Section 7. Vacancies. Vacancies in the membership of any committee may be filled by appointment made in the same manner as provided in the case of the original appointments.

Section 8. Quorum. Unless otherwise provided in the resolution of the Board designating a committee, a majority of the whole committee shall constitute a quorum and the act of the majority of the members present at the meeting at which a quorum is present shall be the act of the committee.

Section 9. Rules. Each committee may adopt rules for its own government not inconsistent with these By-Laws or with rules adopted by the Board.

INDEMNIFICATION

Section 1. Indemnification of Board Members and Officers. Subject to any limitations set forth in the Amended and Restated Charter, the College shall indemnify and advance expenses to each present and future Voting Trustee, Faculty Trustee, Student Trustee, or officer of the College, or any person who may serve at its request as a Voting Trustee, Faculty Trustee, Student Trustee, or officer of another company (and, in either case, his or her heirs, estate, executors or administrators) to the full extent allowed by the laws of the state of Tennessee, both as now in effect and as hereafter adopted. The College may indemnify and advance expenses to any employee or agent of the College who is not a Voting Trustee, Faculty Trustee, Student Trustee, or officer (and his heirs, estate, executors or administrators) to the same extent as to a Voting Trustee, Faculty Trustee, Student Trustee, or officer, if the Board determines that it is in the best interests of the College to do so. The College shall also have the power to contract with any individual Voting Trustee, Faculty Trustee, Student Trustee, officer, employee, or agent for whatever additional indemnification the Board shall deem appropriate. The College shall have the power to purchase and maintain insurance on behalf of an individual who is or was a Voting Trustee, Faculty Trustee, Student Trustee, officer, employee, or agent of the College, or who, while a Voting Trustee, Faculty Trustee, Student Trustee, officer, employee, or agent of the College, is or was serving at the request of the College as a Voting Trustee, Faculty Trustee, Student Trustee, officer, partner, trustee, employee, or agent of another foreign or domestic company, partnership, joint venture, trust, employee benefit plan, or other enterprise, against liability asserted against or incurred by him or her in that capacity or arising from his or her status as a Voting Trustee, Faculty Trustee, Student Trustee, officer, employee, or agent, whether or not the College would have the power to indemnify him or her against the same liability under these By-Laws.

MISCELLANEOUS

Section 1. Amendment of By-Laws. The By-Laws may be amended by the Board. The College shall provide notice of any meeting of Board members at which an amendment is to be approved at least fourteen (14) days prior to such meeting. The notice must also state that the purpose, or one of the purposes, of the meeting is to consider a proposed amendment to the By-Laws and contain or be accompanied by a copy or summary of the amendment or state the general nature of the amendment. The amendment must be approved by two-thirds (2/3rds) of the Voting Trustees in office at the time the amendment is adopted.

CONFLICT OF INTEREST

Section 1. Conflict of Interest. A conflict of interest may exist when the interests or activities of any Voting Trustee, Faculty Trustee, Student Trustee or officer of the College may be seen as competing with the interest or activities of the College, or any such Trustees or officer derives a financial or other material gain as a result of a direct or indirect relationship.

Section 2. Disclosure Required. Any possible conflict of interest shall be disclosed to the Chair of the Board by the person concerned, if that person is a Voting Trustee, Faculty Trustee, Student Trustee or the President of the College, or to the President if the person is an officer.

Section 3. Abstinence from Vote. When any conflict of interest is determined to exist and is relevant to a matter requiring action by the Board, the interested person shall call it to the attention of the Board or its appropriate committee and such person shall not vote on the matter; provided, however, any Voting Trustee, Faculty Trustee or Student Trustee disclosing a possible conflict of interest may be counted in determining the presence of a quorum at a meeting of the Board or a committee thereof. Any committee which votes upon a matter wherein a conflict of interest exists or may exist, must consist entirely of members of the Board.

Section 4. Absence from Discussion. Unless requested to remain present during the meeting, the person having the conflict shall retire from the room in which the Board or its committee is meeting and shall not participate in the final deliberation or decision regarding the matter under consideration. However, that person shall provide the Board or committee with any and all relevant information.

Section 5. Minutes. The minutes of the meeting of the Board or committee shall reflect that the conflict of interest was disclosed and that the interested person was not present during the final discussion or vote and did not vote. When there is doubt as to whether a conflict of interest exists, the matter shall be resolved by a vote of the Board or its committee, excluding the person concerning whose situation the doubt has arisen.

Section 6. Annual Review. A copy of this conflict of interest By-law shall be furnished to each Voting Trustee, Faculty Trustee, Student Trustee and officer who is presently serving the College, or who may hereafter become associated with the College. This policy shall be reviewed annually for the information and guidance of Board members and officers. Any new Board members, officers or staff members shall be advised of this policy upon undertaking the duties of such office.

Amended and Restated Charter 
of Rhodes College
October 20, 2017

Pursuant to the provisions of Section 48-60-106 of the Tennessee Nonprofit Corporation Act, the undersigned domestic corporation adopts the following Restated Charter:

1. The name of the corporation is RHODES COLLEGE.
2. This corporation is a public benefit corporation.
3. The registered office of the corporation is 130 North Court Avenue, Memphis, Shelby County, Tennessee 38103.
4. The registered agent of the corporation is Charles F. Newman.
5. The principal office of the corporation is 2000 North Parkway, Memphis, Shelby County, Tennessee 38112.
6. The corporation is not for profit.
7. The corporation does not have members.
8. The corporation is organized exclusively for the following purposes:
   
   (a) to establish, maintain, operate and conduct a college for the purpose of the education of students in any lines of education, whether academic, that is in the arts, sciences or literature, or whether professional, religious, theological or otherwise;
   
   (b) to do any and all things necessary or proper in carrying out the purposes of the establishment of such institution;
   
   (c) for other charitable, scientific, literary, religious and educational purposes, including for such purposes, the making of distributions to organizations that qualify as exempt organizations under Section 501(c)(3) of the Code, as amended, or corresponding section of any future federal tax code; and  
   
   (d) to the extent consistent with the provisions herein, to do any and all things allowable under the Tennessee Nonprofit Corporation Act.
9. No part of the net earnings of the corporation shall inure to the benefit of, or be distributable to its members, trustees, officers, or other private persons, except that the corporation shall be authorized and empowered to pay reasonable compensation for services rendered and to make payments and distributions in furtherance of the purposes set forth in Section 8 hereof.
10. No substantial part, as defined in the Internal Revenue Code, of the activities of the corporation shall be the carrying on of propaganda, or otherwise attempting to influence legislation, and the corporation shall not participate in, or intervene in (including the publishing or distribution of statements) any political campaign on behalf of or in opposition to any candidate for public office.  Notwithstanding any other provision of these articles, the corporation shall not carry on any other activities not permitted to be carried on (a) by a corporation exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code, or the corresponding section of any future federal tax code, or (b) by a corporation, contributions to which are deductible under Section 170(c)(2) of the Internal Revenue code, or the corresponding section of any future federal tax code.
11. Upon the dissolution of the corporation, assets shall be distributed for one or more exempt purposes within the meaning of Section 501(c)(3) of the Internal Revenue Code, or the corresponding section of any future federal tax code, or shall be distributed to the federal government, for a public purpose.  Any such assets not so disposed of shall be disposed of by a Court of Competent Jurisdiction of the county in which the principal office of the corporation is then located, exclusively for such purposes or to such organization or organizations as said Court shall determine, which are organized and operated exclusively for such purposes.
12. Notwithstanding anything herein to the contrary, at any time during which it is deemed a private foundation, the corporation shall distribute its income for each taxable year at such time and in such manner as not to become subject to the tax on undistributed income imposed by Section 4942 of the Internal Revenue Code of 1986, as amended, or corresponding section of any future federal tax code; the corporation shall not engage in any act of self-dealing as defined in Section 4941(d) of the Internal Revenue Code of 1986, as amended, or corresponding section of any future federal tax code; the corporation will not retain any excess business holdings as defined in Section 4943(c) of the Internal Revenue Code of 1986, as amended, or corresponding section of any future federal tax code; the corporation shall not make any investments in such manner as to subject the corporation to the tax under Section 4944 of the Internal Revenue Code of 1986, as amended, or corresponding section of any future federal tax code; and the corporation shall not make any taxable expenditures as defined in Section 4945(d) of the Internal Revenue Code of 1986, as amended, or corresponding section of any future federal tax code.
13. No director of this Corporation shall be personally liable to the Corporation for monetary damages for breach of the director’s fiduciary duty as a director, except for: (i) any breach of the director’s duty of loyalty to the corporation; (ii) any acts or omissions not in good faith or involving intentional misconduct or a knowing violation of law; or (iii) an unlawful distribution under Section 48-58-304 of the Tennessee Nonprofit Corporation Act.
14. The governing body of the corporation shall be the members of the Board of Trustees who are designated as Voting Trustees.
15. This Amended and Restated Charter was duly approved by the Board of Trustees of the Corporation as required by law. The foregoing Amended and Restated Charter is to be effective upon filing by the Secretary of State of Tennessee.

Dated: October 20, 2017
Rhodes College
by: Marjorie Hass, President

Amendments to this information requires approval of the Rhodes Board of Trustees.

Each year administrative advisory and consultation groups are asked to participate in and facilitate the work of different administrators. The input of the members is important in the life of the College. Committees are advisory, not legislative.

Unless otherwise noted, the term of service is one year, meetings are held at the call of the convener, and the President appoints all members to the committees upon recommendation of the appropriate Vice President who receives recommendations from the respective conveners.

1. Rhodes Planning Cooperative (RPC)

Membership.
Two administrators: the Director of the Physical Plant and the Comptroller; five students: Chair of Campus Green, Chair of Friends of VECA, and the ACS intern; two staff members: the Assistant Superintendent of Housekeeping, and an open position to be filled from the Building and Grounds division; three members of the Faculty: the ACS Fellow, and the past ACS Fellow, and one member of the Faculty recruited by the RPC; two alumni or trustee members recruited by the RPC. Representatives serve terms of two years, renewable at the discretion of each group represented. A chair is elected by RPC committee members and serves for a two-year term.

Duties.

1. Create and maintain a cross-campus collaborative of students, faculty, staff, and administrators for the purpose of developing a practicing perspective of environmental stewardship at the College;

2. Aid in institutionalizing sustainable practices throughout every aspect of college functioning, i.e., energy production, reduction and consumption, academic curriculum, purchasing, waste reduction and disposal, building and road construction, landscaping, vehicle purchasing and maintenance, and technology;

3. Liaison and coordination with the Vollintine Evergreen Community Association on campus and community projects involving matters of sustainability and environmental stewardship. Reports of RPC business and annual summary reports are sent to the Dean of the Faculty, Vice President for Finance and Business Affairs, Dean of Students, and the Vice President for Information Services.

Expected Involvement. 
Meetings are scheduled biweekly during the academic year, and as needed during the summer.

2. Traffic Appeals and Campus Safety Committee

Membership.

Convener (appointed by the Director of Campus Safety or designee); three faculty members, three staff (one of whom is an office administrator); three students; ex officio: Director of Campus Safety or designee

Duties.

1. Hear and decide on appeals of parking/traffic citations and report the decision of the committee to the Bursar and the person making the appeal.
2. Make recommendation to the Dean of Students and the Vice President for Finance and Business Affairs regarding parking and traffic regulation, via the Director of Campus Safety or designee.
3. To promote understanding of the need for College-wide cooperation concerning parking and traffic.

3. Administrative Assessment Committee (AAC)

Provides assistance to education programs and faculty committees as needed to facilitate the faculty’s regular and on-going efforts to assess the curriculum.

Membership: SACSCOC liaison, Chair
Director of Assessment
One or two faculty members appointed by the Provost for their relevant areas of expertise

The charge of this committee is to:

• Guide and evaluate the College’s assessment activities in regard to educational programs
• Make policy recommendations in this regard as needed, although it will not establish policy
• When needed, recruit personnel from the Faculty and Staff who can provide task-specific skills
• Work closely with Institutional Research to collect appropriate data

Faculty.
The College Bylaws delegate to the Faculty, through the regular channels described in Article VIII the responsibility to admit students.

Admissions Office.
The Dean of Admissions and Financial Aid is responsible for recruiting new students, admitting all first-year, transfers, and special (non-degree), and teaching certification students whose academic qualifications are within the standards set by the Faculty Committee on Admissions. The Dean of Admissions and Financial Aid is also responsible for marketing the admissions program, and administering all financial aid programs.

Selection committees for Bellingrath scholarships shall include faculty members, staff, students, and off-campus participants appointed by the Dean of the Faculty upon recommendation of the Dean of Admissions and Financial Aid.

Financial Aid Office.
The Director of Financial Aid is responsible for evaluating financial needs of all students (first-year students, transfers, and "readmits,") and processing the required forms.

All agencies related to the College in any contractual or fiduciary relationship shall follow all policies and procedures for accounting, human resources, and purchasing as defined by the College. The policies and procedures will be administered in a manner consistent with that of any department within the College.

Should any such agency desire a variation from the normal operating policies or procedures of Rhodes, a resolution from the chief executive of the agency shall be sent to the Comptroller and to the Vice President for Finance and Business Affairs of the College for review. This document shall be viewed as an addendum to the existing contract only when accepted and signed by the Vice President for Finance and Business Affairs.

A. Preliminary Operating Budget

B. Detailed Operating Budget

C. Renovation & Replacement Budget and

D. Update Capital Needs

E. Administration of Current Operating Budget

Requesting Funds. Requests for funds should be made in the following manner:

Recurring Expenses come from the regular College budget. Requests for recurring expenses should be submitted to the Vice President for Finance and Business Affairs by the appropriate Vice President or Dean as part of the annual budget request process early in the Fall.

Capital Expenditures and One-Time Obligations of the College come from the Renovation and Replacement budget. Such requests should be sent to the appropriate Vice President or Dean by January 10. The Vice President or Dean, in turn, sends requests to the Vice President for Finance and Business Affairs as part of the regular process for renovation and replacement requests.

One-Time, Non-Capital Funds come from the discretionary fund of the appropriate Vice President or Dean. Requests may be made at any time but for one year only. Subsequent requests must be made in the regular budget process.

Overage Funds, above a department’s budget, normally come from the Emergency Fund, although Deans/VPs should first determine if their discretionary funds can be used to cover the requested overage. Such requests should be sent immediately to the appropriate Vice President or Dean, thence to the Vice President for Finance and Business Affairs.

Requests to Solicit Funds from off-campus sources must be approved by the appropriate Vice President or Dean and sent to the Vice President for Development for consideration by the Development Committee.

Annual Budget

• Department heads may overspend in a particular account as long as the department′s total budget is not overspent.
• If a department overspends its budget, the Vice President for Finance and Business Affairs in consultation with the appropriate VP, Dean or Department Head will consult to determine if unforeseen circumstances require future adjustments to the departmental budget or if an allocation from the emergency fund is appropriate.
• After May 1st each year, equipment purchases over $400 must be approved by the Vice President for Finance and Business Affairs.
• There are three ways for Deans/VPs to allow a department in their division to overspend the department’s original budget: The Vice President or Dean must either, pay the overage amount from the Dean/VP′s discretionary fund, transfer funds from another department in their division to the department requesting the overage (so the requesting department will not exceed its budgeted amount), or request that funds from the Emergency Fund be transferred to the department requesting the overage, so the department’s budget will not be exceeded.
• Budget amounts may be transferred between departments only with the appropriate Dean/VP′s approval. Funds may not be transferred between fund balances and budgeted income and expense accounts.
• Each department and division head is evaluated on the quality of budget management.
• The Vice President for Finance and Business Affairs will contact promptly the department heads of those departments whose expenses exceed their year-to-date budget, and whose incomes are below their year-to-date budget. Together they will devise ways to avoid budget problems before the end of the fiscal year.
• Telephone equipment charges will be assessed in November of each year and will equal the amount provided for budgeting in the original budget process. Telephone equipment charges are charged to the appropriate department.

Capital Budget

The Capital Budget establishes a College-wide priority list for funding capital and one-time needs. Funding for these items can come from gifts designated specifically for an item on the list, undesignated capital gifts (with the written approval of the President), and renovation and replacements funds. If a designated grant is received (e.g. Biology scientific equipment) the Biology scientific equipment on the capital priority list shall be funded first before any Biology equipment not on the priority list is funded. The Capital Budget also focuses the efforts by the Advancement Office on items of highest priority. By following this policy the College is able to focus limited resources on its highest needs. Capital Budget funds not spent within two years will be reallocated by the President to other capital needs.

Allocation of Information Technology Resources

The College recognizes that information technology plays an important role in teaching effectiveness and administrative efficiencies. With the exception of regular computer and printer replacements, which are budgeted on a three-year cycle, the allocation of resources for information technology will be given equal consideration with all other requests during the annual Renovation and Replacement (R&R) budget process. Recommendations for funding will come from department heads to their respective Vice Presidents (i.e., the Provost, the Vice President for Development, or the Vice President for Finance and Business Affairs). Each Vice President or Dean will then consult with the Chief Information Officer, who will submit an overall list of information technology priorities to the Vice President for Finance and Business Affairs, who will compile a master list of all R & R requests. The master list will then be forwarded to the President’s Senior Leadership team for final review prior to being submitted to the President.

Auxiliary Services Budgets

These budgets are in a unique category in that it is likely that increases in income generated in excess of budgeted income may also cause increases in expenses. The College does not want unnecessarily to limit these auxiliary services to their original budget amounts provided sufficient additional off-setting income can be generated. At the same time, budget control must be maintained to assure a College-wide balanced budget. To accomplish this task the named auxiliary services should use the following procedure:

• Auxiliary service department heads will project their best estimates on expense and income for the budget process.
• These figures will be reviewed, and refined if necessary, by the Vice President for Finance and Business Affairs before the amounts are approved in the College’s income and expense budgets.
• During the budget year, if an auxiliary service department wishes to exceed its expense budget in order to exceed its income budget by the same amount or more, the department head must request authority from the Vice President for Finance and Business Affairs to exceed the expense budget. Otherwise no department may use income-above-budgeted-income for its own use.
• If an auxiliary service is expected to exceed its expense budget without compensating income increases, then the department head must follow the same procedure as all other departments: request emergency funds.

Transfers

Funds restricted by a donor cannot be transferred between funds.
 
If the Board of Trustees has restricted certain funds, the Board of Trustees must approve a transfer of the restricted funds to other funds.

The Vice President for Finance and Business Affairs must approve the transfer of restricted funds to other funds if neither the donor nor the Board of Trustees has restricted the funds.

Budget transfers from the salary budget to the non-salary budget and vice versa are prohibited unless approved in writing by the Vice President for Finance and Business Affairs.

Hard Money versus Soft Money

A distinction must be made between recurring or “hard” revenues such as tuition and endowment income, and nonrecurring or “soft” revenues such as those received from grants, contracts or specially designated gifts. If the College relies on soft money to fund a program, it should be understood by all that this funding strategy is relatively risky.

If soft money is cut off, there may be those who will pressure the College to replace this soft money with hard money. If this is done, it would have the effect of limiting other salaries, benefits, and programs.

To avoid these unplanned and potentially harmful effects, the College must take a disciplined approach to the acceptance and use of soft money for programs that it hopes will be ongoing.

Therefore, before soft money can be used for continuing programs, the appropriate VP/Dean must see that such programs comply with the following:

• A written description of the program and a statement that it complies with these policies must be signed by a) the person who will direct the program, b) the Comptroller, and c) the appropriate Vice President or Dean. 
• No program should be undertaken, and no obligation should be made by the College before the funds are actually received.
• Programs at the College financed by hard money should not be dependent upon a program financed by soft money.
• All programs financed on soft money should be submitted for review each year by the Vice President for Finance and Business Affairs. 

In the event that soft money is cut off and cannot be replaced by soft money from other sources, and if continuity of the program is highly desired by the program director and the appropriate Vice President or Dean; the procedure to decide whether the College will begin funding with hard money is as follows:

• A budget request should be made by September to the Vice President for Finance and Business Affairs.
• In order to continue the program for up to one year (the maximum time needed to be considered for inclusion in the annual budget for the following year), a request can be made to the appropriate Vice President or Dean in February for inclusion in the year-end Renovation and Replacement allocation. Such a request can be made and approved for one year only. That is, one-time money from Renovation and Replacement can be used only one year for a program. After that year either it should be a) discontinued, b) continued by inclusion in the College operating budget, c) continued on new outside soft money, or d) continued by being endowed.

Cash Management General Information. The Comptroller has the authority to actively to manage all cash and to invest funds not needed in the short-term, using fixed income and cash equivalent securities to yield reasonable rates of return at an acceptable level of risk within prescribed maturities.

A general description of cash management operations follows:

All incoming and outgoing funds are accounted for in the Banner system and on the SunTrust Network Banker system, including capital calls, incoming and outgoing wires, and large distributions from entities like the Bellingrath Foundation. The Assistant Comptroller and the Director of Accounting work closely with the Cashier′s office as well as the Advancement office to accurately record all bank deposits.

The Cash Management Office provides a monthly report on the College’s cash to the Comptroller. Cash reports are also prepared upon request of the Comptroller and when material or unexpected fluctuations in the College’s total cash balance occur. 

The overnight repo amount, invested with our primary banking institution, and current rate of interest paid, are reported to the Comptroller each morning.

Monthly bank reconciliations are completed by the Cash Manager (Assistant Director of Accounting) and reviewed by the Director of Accounting. The Assistant Comptroller reviews bank reconciliations on a random, surprise basis. Controls and limits for wire transfers and the approval to the bank for such transfers are established by contract with the college primary banking entity. Internal audits are periodically performed to monitor adherence to these limits.

I. Purpose

Cash funds not immediately needed for operations in the current year may be invested over a longer horizon. Intermediate cash that may be invested in this program is defined as the combined college cash balance amount that exceeds the lesser of $10,000,000 or 3% of net assets.

II. Prescribed Types of Investment Securities and Limitations

The following investment grade securities may be used in the Intermediate investment program:

1. Obligations of the U. S. Government backed by full faith and credit
2. Obligations of agencies backed by the U.S. Government
3. Investment grade corporate obligations
4. Absolute Return fund of funds selected and recommended by the college’s investment advisory firm, acting as Outsourced Chief Investment Officer

III. General Limitations

1. The investments listed in II. A, B, and C will be investment grade vehicles and will have no less than a AA rating. No single investment in this category will exceed $2,000,000.
2. Investments in corporate obligations will not exceed 20% of the total investments in II. A, B, and C. No single investment in this category will exceed $2,000,000.
3. Total investment in an absolute return strategy will not exceed 15% of the total Cash Management Program.

IV. Investment Review

1. The Comptroller will distribute a monthly performance report on the activities of the Intermediate Cash Management Program to the Vice President for Finance and Business Affairs.
2. The Comptroller may request the Subcommittee on Investments to add specific investment instruments, with appropriate limitations, to Section II. A. as market characteristics change over time.

All available cash (from the current funds, restricted funds, agency funds and endowment income) will be pooled for investment purposes. All interest income will be booked originally in the current fund. The Cash Manager will compute a monthly weighted average yield on the total of cash and cash equivalent securities. The Comptroller will pay from the current fund a portion of this income to specific fund balances, depending on size and permanence of the fund balances in the accounts. The amount will be computed by multiplying the monthly weighted average yield to the monthly weighted average fund balance. For the endowment fund, the yield will be applied to the weighted average of endowment funds held within the current fund during the month.

1. Purpose
   This policy establishes the types of acceptable investments and various limits on these investments which can be purchased in the Short-term Cash Management Program administered by the Administrative Services Division.
   
   Rhodes will purchase acceptable investments which will maintain a high level of return within an acceptable level of risk.
2. Prescribed Types of Investment Securities and Limitations
   1. The following investment securities are acceptable for the Cash Management Program:
      1. U. S. Government Treasury Bills
         • No limit on amount.
         • Current maturities will not exceed 365 days.
      2. U.S. Government Treasury Notes
         • No limit on amount.
         • Current maturities will not exceed two years.
      3. Obligations of Agencies of the U.S. Government
         • No limit on amount.
         • Current maturities will not exceed 365 days.
      4. Certificates of Deposit with Shelby County financial institutions (Deposits Insured)
         • The amount of certificates of deposit from any one institution will not exceed the lesser of $500,000 or 1% of net assets.
         • Total direct obligations of any one institution including certificates of deposit, are subject to the limitations discussed in Section III.
         • Maturities will not exceed one year.
      5. Certificates of Deposit with non-local financial institutions (Deposits Insured)
         • The amount of certificates of deposit from any one institution is not to exceed the amount of federal deposit insurance.
         • The Subcommittee on Investments may approve a select list of major U.S. capital market financial institutions with which the College may invest amounts in excess of federal deposit insurance limits.
         • Total direct obligations of any one institution, including certificates of deposit, are subject to the limitations discussed in Section III.
         • Maturities will not exceed one year.
      6. Repurchase Agreements and Reverses
         • Total amount of repo′s will not exceed the greater of $25,000,000 or 5% of net assets.
         • Direct obligations of any one institution, including repo′s with more than a one day maturity are subject to the limitations discussed in Section III.  Overnight repo’s with a daily maturity are excluded from the limitations discussed in Section III.
         • Maturities will not exceed thirty days for repo′s.
         • No limitations apply to reverses.
         • Actual delivery of collateral to Depository Bank will be required on each transaction.
      7. Domestic Bankers Acceptances
         • Total amount of banker′s acceptances from any one bank will not exceed the lesser of $2,000,000 or 2% of net assets.
         • Purchases are limited to the fifty largest domestic banks (ranked according to deposits).
         • Other domestic banks may be specifically approved by the Subcommittee on Investments.
         • Total direct obligations of any one institution, including bankers′ acceptances, are subject to the limitations discussed in Section III.
         • Current maturities will not exceed six months.
      8. Commercial Paper
         • The total amount of paper which can be purchased from any one institution will not exceed $2,000,000 or 2% of net assets.
         • Paper will only be purchased that is rated by Moody′s as P-l or by Standard & Poor′s as either A-l or A-2.
         • The Subcommittee on Investments may specially approve certain institutions which will be exempted from (b) above.
         • Current maturities will not exceed thirty days.
   2. Investment in equity securities is prohibited.
   3. Deposit rankings and amount of equity as referenced above in II. A., will be determined as of the latest available audited financial statements.
3. General Limitations
   1. The College will not purchase investment securities from any one organization that will cause the total cost of all securities issued by that organization and held by the College to exceed the greater of $3,000,000 or 25% of the total cash and cash equivalents as of the beginning of the month.
   2. Total direct obligations of any one institution shall not exceed the lesser of $1,000,000 or 2% of net assets.
   3. There is no limitation on the amount of U.S. Government or Agency securities.
   4. Net assets are defined as the combined net assets in the audited financial statements for the preceding fiscal year.
4. Investment Review
   1. The Comptroller will distribute a monthly performance report on the activities of the Short-term Cash Management Program to the Vice President for Finance and Business Affairs.
   2. The Comptroller may request the Subcommittee on Investments to add specific investment instruments, with appropriate limitations, to Section II. A. as market characteristics change over time.

Solicitation By Other Charitable Institutions

Rhodes follows the practice, along with many of the charitable institutions and agencies in Memphis, that it does not redirect the charitable gifts that it receives to other charitable institutions and agencies (that also solicit funds in Memphis), nor solicit gifts from staff members of those organizations and agencies.

Gifts for annual purposes support the daily operation of the college. Unrestricted gifts of $25,000 or less go into the unrestricted designation for the Annual Fund or may be used for another restricted or capital purpose as deemed appropriate by the Vice President for Development. Unrestricted gifts above that amount go into the unrestricted capital funds designation.

Unrestricted memorial gifts will go into unrestricted designation of the Annual Fund.

Restricted memorial gifts will be used for the designated purpose.

Gifts of $10.00 or more requested by the donor to memorialize or honor a person will be recognized by one individual being memorialized or honored. A letter of notification regarding the gift will be sent to the person being honored or to a family member of the person being memorialized provided the name and address information for such a letter is available or is sent by the donor with the gift.

Permanent memorial designations that are not funded by a benefactor who designates such a memorial shall not be planned or authorized until at least one year after the death of the person to be memorialized.

Involvement of Benefactors and Solicitation of Funds

Each department is expected to involve potential supporters in the work of the department and to obtain gifts to meet the department’s needs, as outlined in the Gift Opportunities Lists. Examples are faculty chairs, faculty development funds, endowed library collections, and funds for equipment.

To maximize fund raising, build donor confidence in Rhodes, and avoid conflicts with the program approved by the Board:

Department heads must inform the Director of Advancement Services (ext. 3850) of every pledge and every gift on the day the pledge or gift is received by the department, and the designation which is to be credited with the gift or pledge.

All checks or cash must be delivered to the Development Office (Dorothy C. King Hall, 2nd floor) on the day received.

All prospects must be cleared by the Vice President for Development before solicitation.

Projects requiring special solicitations must have the approval of the Vice President for Development.

The person requesting special solicitation must submit a proposal in final form to the Vice President for Development. The proposal should be no longer than 3 pages and should include:

• A project budget, approved by the appropriate administrative officer (head of division) and by the Vice President for Finance and Business Affairs.
• A project description approved by the appropriate administrative officer (head of division), proposed schedule for fund raising and for the project itself, persons served, and benefits to the college.
• A list of prospects to be solicited for gifts, including prospective solicitation amount.

The Vice President for Development in consultation with the President will determine the priority of the project and, upon approval, will direct the Development Office in the allocation of staff time to the project.

The following statement should appear on every deferred giving pamphlet, form, or draft of a legal document provided by the College:

“Rhodes College, through this pamphlet (or form, document, etc.) or otherwise, is not engaged in rendering legal or tax advisory services. Individuals considering estate gifts to the college should obtain the services of a financial advisor (an attorney or Certified Public Accountant or CLU).”

The Bellingrath Society is established to recognize donors whose concern for the future strength of Rhodes has led them to make significant deferred gifts to the college. It is named in honor of Walter D. Bellingrath, one of Rhodes’ most substantial benefactors, whose $22 million estate gift helped to propel the college to new levels of strength, service, and recognition. The Bellingrath Society is open to those who have made deferred commitments of at least $1 million for Rhodes and whose gifts do not qualify them for membership in the Benefactors’ Circle. These deferred commitments may include will provisions, charitable trusts and charitable gift annuities.

Members of the Bellingrath Society will have their names permanently inscribed on the Bellingrath Society wall. In addition, they will be listed in the annual donor report, and will be invited to special events.

Proposed changes in the minimum level of commitment shall be brought to the Board of Trustees for its approval.

The Benefactors’ Circle is the highest recognition afforded to supporters of Rhodes College. Open to individuals, corporations, or foundations whose commitments total $1 million or more, the Benefactors’ Circle acknowledges the leadership role of those whose gifts have helped to make Rhodes one of the world’s outstanding liberal arts colleges. The $1 million in commitments which qualify a donor for membership in the Benefactors’ Circle will be counted on the following basis:

• The value of gifts paid to Rhodes;
• The value of pledges to be paid over as many as 7 years;
• The present value (at the time of the gift) of all irrevocable deferred gifts.

Members of the Benefactors’ Circle have their names inscribed on the floor of the cloister of Southwestern Hall during a special ceremony, are listed in the annual report, and are invited to special events.

Proposed changes in the minimum level of commitment shall be brought to the full Board for approval.

This document defines how outright and deferred gift commitments will be recorded for gift counting purposes in order to measure Rhodes’ success in achieving its fundraising goals and to ensure that donors are recognized appropriately for their contributions. The policies will be effective as of October 2006 and will supersede previous gift crediting policies.

General Gift Policies:

• Cash gifts will include pledges and outright gifts for the Annual Fund, capital, endowment and any annual priority of the college.
• In order for pledges to Rhodes to be credited they must be received in writing and processed by the college. This will ensure that the donor receives proper acknowledgement, recognition and credit. No pledge without written confirmation by the donor will be recorded.
• Deferred gift commitments will be counted as follows:
  • Bequest
    • Bequest intentions will be counted at face value if the college is the direct beneficiary.
    • Bequest intentions will be counted at present value if the college is the indirect beneficiary.
  • Life Income Plans
    • Life Income Plans will be counted at face value if the beneficiary is of the donor’s generation.
    • Life Income Plans will be counted at present value if the beneficiary is of a younger generation than the donor such as a child or grandchild.
  • Life Insurance
    • Life Insurance gifts will be counted at face value if the insured is of the donor’s generation.
    • Life Insurance gifts will be counted at cash value if the insured is of a younger generation than the donor such as a child or grandchild.
    • Term life insurance will not be accepted.
• The college may accept gifts of real estate, including houses, condominiums, commercial properties, farm land, rental property, and undeveloped land after a thorough review is made by Rhodes in accordance with Gift Handling Policies. These same guidelines will be followed for deferred gifts of remainder interest in a residence or farm.
• Pledges will be counted in the full amount of the pledge commitment as soon as the donor has signed a pledge agreement. Pledges will ordinarily be expected to be paid within five years, although a schedule of payments extending beyond that point can be arranged in special circumstances.

Gift Crediting Guidelines:

The following gifts and pledges will be counted towards the campaign. IRS rules and regulations will apply in all instances. Accordingly, qualified appraisals must be obtained by the donor and provided to the college where a qualified appraisal is required by the IRS in order to substantiate a charitable tax deduction.

• Cash: Cash is credited at full value the day it is received. 
• Marketable Securities: Securities are credited at the average of the high and low of the fair market value on the date of delivery or the date the donor relinquishes control of the assets.
• Closely Held Stock: Gifts of closely held stock will be credited at the fair market value placed on it by a qualified independent appraiser as required by the IRS.
• Real Property: Gifts of real property will be credited on the date of transfer at the fair market value as determined by a qualified appraisal.
• Tangible Personal Property: Tangible personal property including works of art, jewelry, antiques, coins, stamps and other collections, automobiles, manuscripts, and books which are accepted by Rhodes College will be credited at the fair market value on the date of transfer as determined by a qualified appraisal. 
• Gifts in Kind: Non-cash donations will be credited at fair market value on the date of transfer as determined by a qualified appraisal.
• Bequests: Bequests are counted as cash only after the bequest matures and is received by Rhodes College.   Bequest intentions will be included in the campaign deferred commitment total only where the college has received signed documentation.  After the bequest matures and received by Rhodes, the amount will be subtracted from the Deferred Commitment total and added to the Cash Commitment total. 
• Charitable Gift Annuities: Charitable gift annuities will be credited at face value.
• Charitable Remainder Trusts: Charitable remainder trusts will be credited at face value if the beneficiary is of the donor’s generation.  Charitable remainder trusts will be credited at present value if the beneficiary is of a younger generation than the donor such as a child or grandchild.
• Charitable Lead Trusts: A charitable lead trust will be treated as a cash pledge, and credited at full value of all anticipated payments as stipulated in the trust document which will be received by five years after the close of the campaign. For example, a charitable lead trust created June 30, 2005, with an annual payment to Rhodes of $10,000 for ten years will be credited as a $100,000 cash pledge. 
• Life Insurance: Rhodes College must be the owner and beneficiary of any whole or universal life insurance policy given to the college. (Term life insurance will not be accepted and will not be credited in the campaign.) At the time the policy ownership is transferred to the college, all donors must confirm in writing that  they will pay in a timely manner all future premium payments, whether known or unknown at the time the gift is made. Life insurance gifts will be credited at face value if the insured is of the donor’s generation.  Life insurance gifts will be credited at present value if the insured is of a younger generation than the donor such as a child or grandchild.

GIFTS OF CASH OR SECURITIES     

A. Designated for Annual Purposes:     

1. Budget-relieving annual gifts go into the appropriate designation of the Annual Fund.

• Financial Aid/Fellowships (Scholarships) (Fund 111000, Account 520041)
• Faculty Support (Fund 111000, Account 520042)
• Campus Life (Fund 111000, Account 520043)
• Library/Technology (Fund 111000, Account 520044)
• Campus Preservation (Fund 111000, Account 520045)
• Where most needed (Fund 111000, Account 520011)

These funds are either immediately expended or invested through the college’s cash management policy. Any interest income is credited to interest income (Fund 111000, Organization 80001, Account 530011, Program 00).

2. Budget-relieving athletic gifts go into the appropriate designation of the Lynx Club (Fund 111000, Account 520011).

• Lynx Club
• Baseball
• Basketball (Men)
• Basketball (Women)
• Field Hockey
• Football
• Golf (Men)
• Golf (Women)
• Lacrosse (Men)
• Lacrosse (Women)
• Soccer (Men)
• Soccer (Women)
• Softball
• Swimming
• Tennis Track and Cross Country
• Volleyball

These funds are either immediately expended or invested through the college’s cash management policy. Any interest income is credited to interest income (Fund 111000, Organization 80001, Account 530011, Program 00).

3. Restricted annual gifts go into the designation supporting the purpose specified by the donor.  

B. Designated for Capital Purposes:     

1. Unrestricted capital gifts are recorded in Capital Funds Unrestricted (Fund 214019-60001-520116-40). Using the 60/40 ratio of endowment to capital expenditures formula and the projected needs for Board approved capital funds expenditures, the Comptroller transfers immediately the amount necessary to the Quasi Endowment (Fund 510007) if the 60/40 ratio is not met.     

2. Restricted Capital Gifts   

a. For an item in the “Capital Needs List”:   

Gifts designated “for endowment” are deposited immediately in Quasi Endowment (Fund 510006-200031-520116-40).

Gifts for professorships, fellowships or other named Funds are set up in the Endowed Funds. Each year an allocation determined by a formula mandated by the Board of Trustees is used for the endowment purpose; excess earnings and appreciation are added to principal.  

Gifts for equipment or plant improvement or other projects are expended for the project or invested until the project can begin. Interest earned is credited to interest income (Fund 111000, Organization 80001, Account 530011, Program 00) or towards the project as decided by the Vice President for Finance and Business Affairs.   

No interest income will be accumulated in a particular fund account unless: 1) the gift is $10,000 or more, 2) there is a request from the donor or donors for the interest to be credited to the account, and 3) granting the request may encourage additional future gifts.   

b. For an item not designated as an institutional priority or listed in “The Gift Opportunities List” the President recommends to the Board to accept or not accept. Accepted gifts are treated as in B.2.a.   

C. Undesignated Gifts:   

1. $25,000 or under is treated as a gift “Designated for Annual Purposes”: follow A.1, unless otherwise deemed appropriate by the Vice President for Development.   

2. Over $25,000 is treated as a gift “Designated for Capital Purposes”: follow B.1.   

GIFTS OF REAL ESTATE  

When gifts of real estate are offered to Rhodes, there must be an on-site inspection and environmental survey prepared before the gift can be accepted by the Vice President for Finance and Business Affairs.   

If the gift of real estate is accompanied by a valid appraisal, it is entered on the college books at that value (in the case of multiple valuations, the average). Absent a valid valuation, it is entered at a value of $1.00. A development officer works with the donor to determine the purpose of the gift.   

If the value of the gift is to be added to the endowment as a restricted designation, the designation is set up, and the gift is acknowledged at the time the gift is made, but the income to the college does not begin until the property is sold and converted to cash. While the sale price does effect the size of the account and the cash flow, it does not change the amount credited to the donor by Rhodes. The amount credited to the donor is determined by a valid appraisal at the time of the gift. According to IRS regulations, the gift acknowledgment to the donor describes the property, but does not include a dollar amount. 

The President upon the recommendation of the Vice President for Finance and Business Affairs recommends to the Investment Committee whether to sell or hold gifts of real estate. A list of all property held will be prepared by the Vice President for Finance and Business Affairs and submitted to the Investment Committee periodically. 

If the real estate is sold the income flows through the “Gifts of Cash or Securities” and expenses are deducted from the gross proceeds. 

If the real estate is held the property is booked at appraised value in the assets of the Current, Restricted, or Endowment fund. 

If the rental, lease or other income is undesignated the funds are credited to the appropriate current fund account: Fund 111000, Organization 80001, Account 560020, Program 00 Royalties or Fund 111000, Organization 80001, Account 560016, Program 00 Miscellaneous Income. 

If the rental, lease or other income is designated the funds flow to the appropriate account or project. 

GIFTS OF TANGIBLE PROPERTY 

The President upon the recommendation of the Vice President for Finance and Business Affairs recommends whether to hold or sell all individual gifts of tangible property (furniture, jewelry, art work, equipment, books, etc.) valued at $5,000 and over to the Investment Committee of the Board. The President will decide the disposition of gifts valued up to $5,000 and will report those decisions to the Investment Committee at the January Board meeting. 

If the property is sold the income flows through the “gifts of cash or securities” and expenses are deducted from the gross proceeds. 

If the property is held the item will be appropriately booked at appraised value in and added to the college’s inventory system. 

GIFTS OF LIFE INSURANCE 

Rhodes College must be the owner and beneficiary of any whole or universal life insurance policy given to the college. (Term life insurance will not be accepted and will not be credited in the campaign.) At the time the policy ownership is transferred to the college, all donors must confirm in writing that they will pay in a timely manner all future premium payments, whether known or unknown at the time the gift is made. 

The President upon the recommendation of the Vice President for Development recommends to the Finance Committee whether to keep the policy in force or to surrender the policy. 

If the policy is surrendered, proceeds are treated as “Gifts of Cash or Securities. 

If the policy is kept in force, and the donor does not make gifts to support premium payments, the Investment Committee, upon recommendation of the President, should decide if the premiums should be paid and if so, how they should be paid. (Note: see section below on “Accepting Gift” about the expenditure for purpose of gift). At termination of the policy, proceeds are treated as a gift “Designated for Capital Purposes.” 

GIFTS OF STOCK IN CLOSELY HELD CORPORATIONS, THE VALUE OF WHICH CANNOT BE DETERMINED, OR FOR WHICH THERE IS NOT A READY MARKET 

The college is grateful for such gifts and shall acknowledge receipt immediately and thank the donor. The college will record these at $1.00 until such time as the stock is sold or a professional appraisal acceptable to the Investment Committee of the college is received. 

The valuation of such gifts on the books of the college shall normally occur only in the fiscal year in which the gift is sold, except in the case of an acceptable professional appraisal. 

The Comptroller will prepare a list of all closely held securities to include in the quarterly report of securities on hand. This report will list the changing value of the security and the asset account into which it has been booked. 

The Comptroller shall seek at least twice a year—in May and December—to find a market for such stocks and dispose of them, subject to the approval of the Investment Committee. 

The Comptroller shall consult with the Vice President for Development about donor sensitivity before attempting to sell the stock. 

ACCEPTANCE AND VALUATION OF NON-CASH GIFTS 

The date of acceptance and valuation of any non-cash gift to the college shall be the date the donor has unconditionally parted with dominion and control over the property; delivery directly to Rhodes is not required as long as the donor has relinquished all control over the property. Thus, delivery to a third party who agrees to act as Rhodes’ agent in accepting the property is effective when delivery is made to the agent, but delivery to a third party acting as the donor’s agent is not effective until that agent delivers the property to Rhodes or Rhodes’ agent. 

ACCEPTANCE OF GIFT ANNUITIES AND CHARITABLE REMAINDER TRUSTS 

The minimum acceptable principal amount accepted for a gift annuity is $10,000. The minimum for a charitable remainder trust for which the college will act as trustee is $50,000. 

For gift annuities, the rates offered the annuitant will not exceed the most recently published rates of the American Council on Gift Annuities. Gift annuities will be accepted only when the annuitant is 55 years or older. Deferred gift annuities will be accepted for annuitants younger than 55 depending upon the beginning date of the annuity payment. 

Payout rates offered on charitable remainder trusts will be based on negotiated rates acceptable to the donor, the Vice President for Development and the Vice President for Finance and Business Affairs. There is no minimum age requirement on charitable remainder trusts. 

Payment of annuities and trusts will begin three months after receipt of gift. The payments will be scheduled only at quarter-end dates. 

INTERNAL HANDLING OF GIFTS 

All cash or checks are processed by the Development Office and then go immediately to Rhodes Express. Gifts of securities, real estate, other tangible property, life insurance, etc. will be received by the Development or Comptroller’s offices. These offices will notify other interested offices and will complete the appropriate Gift Receipt form (Securities, Real Estate, Personal Property). In the case of securities the Comptroller’s office will follow the Policy for Handling Contributed Securities and as required the Policy Regarding Gifts of Stock in Closely Held Corporations. 

IRS FORMS RELATED TO GIFTS 

If Rhodes receives from a donor a contribution of property other than cash or publicly-traded securities and the deduction associated with the property is more than $5,000, the donor will need to present Internal Revenue Service Form 8283 to Rhodes for its signature. If Rhodes disposes of this “charitable deduction property” within three years of the date of the donor’s contribution, the Comptroller will report, in a timely manner, such disposition to the Internal Revenue Service on IRS Form 8282. Rhodes will furnish the donor with a copy of the completed IRS Form 8282. 

ACCEPTING GIFTS 

The final determination for acceptance of gifts to the college is the responsibility of the Board, on recommendation of the President. 

Unless there are actual returns such as dividends, rent or lease income, no expenditure for the purpose of the gift will be made without the approval of the Board of Trustees until the gift is liquidated or income from the gift is earned. 

GIFTS TO THE COLLEGE OF A NON-PERMANENT NATURE 

While Rhodes makes every effort to maintain its campus and furnishings to the highest standard, donors of gifts that will deteriorate in time should be told that the college does not guarantee the replacement of such items. These may include garden benches, rugs, and other materials, the durability and appearance of which may erode with passing years. When deterioration sets in, gifts may be replaced by the original donor or by others who wish to make such a contribution to the college. 

GIFTS TO ANNUAL BUDGET AND DESIGNATED CAPITAL GIFTS 

To minimize the likelihood of donors dictating the budget priorities of the college, to retain budgeting responsibilities with the administration, as charged in the college Bylaws (VII, 1.6), and to maintain flexibility in budgeting among all departments and divisions of the college; all restricted gifts (gifts designated by the donor) will be reckoned as budget-relieving at the college-wide level rather than at the departmental or divisional level.

 

The Ralph C. Hon Society recognizes individuals who make Rhodes a beneficiary of their estate plans, including will provisions, charitable gift annuities and charitable remainder trusts. The names of each member of the society will be listed in the Honor Roll of Donors and members will be invited to special events on campus.

All members who document their gifts will receive special recognition and their names will be included in The Ralph C. Hon Society plaque.

When the donor’s estate plans mature, the donor will be recognized permanently through the naming of a room, an endowment or other means, according to the donor’s wishes.  

A gift of $10,000 or more will create and name an endowed student award; $50,000 or more will create and name an endowed faculty award. Income from endowed awards will be used to pay all the costs of the award and to support the work of the department in which the award is given.

To protect the importance of the awards, the following regulations and guidelines will be used:

• The total number of awards currently presented is adequate. However, the college will add awards if they are fully endowed and are in areas not covered by present awards. Each department should attempt to replace departmentally-funded awards with fully endowed awards.
• Already established departmental student awards which include a stipend shall be a minimum of $100. Until endowments support these awards, they may be funded from the departments’ non-salary budgets.
• All awards should be accompanied by an appropriate framed plaque funded by the endowed award or by the department.
• Criteria and selection of award winners are the responsibility of the participating department with the approval of the Vice President for Academic Affairs.
• Named awards are listed each year in the college Catalogue.

The Board of Trustees has authorized the creation of named endowment funds for such purposes as academic programs, fellowships, scholarships, library collections, awards, etc. The minimum amounts required to guarantee the effectiveness of such gifts are outlined in this Handbook and in the Gift Opportunities List, available in the Development Office.

Upon approval by the Vice President for Development and the President, a named endowment may be created to recognize an initial gift of less than the minimum if there is the expectation that future gifts will build the endowment to the required level.

A gift of $10,000 or more will create and name an endowed library collection in the area of the donor’s choosing. Named collections are listed in the college Catalogue and in a brochure describing support for the Paul Barret, Jr. Library.

Endowed faculty positions enable the college to attract and keep teacher-scholars of the highest caliber. Minimum requirements for creating endowed faculty positions (or chairs) are:

A gift of $50,000 or more will create and name an endowed scholarship.

Named endowed scholarships are listed each year by the Finance Office. Files containing, among other information, the name of the fund and the current annual distribution, are provided by the Finance Office to the Director of Financial Aid and the Director of Advancement Services by September 15. A list of one-time annual scholarships is provided by the Director of Advancement Services to the Assistant Director of Financial Aid by September 15.

By September 30, the Director of Advancement Services sends to the Assistant Director of Financial Aid the list of sponsors or interested parties to whom it would be appropriate for a student recipient to write a letter of thanks.

By October 31, the Assistant Director of Financial Aid matches student recipients to named scholarship and provides the information to the Director of Advancement Services.

By November 30, the Stewardship Officer asks student recipients to write letters of thanks to their sponsors and send copies to the Development Office for sponsor files. At the same time, the Stewardship Officer sends information to the appropriate sponsors identifying the student recipient for their scholarship and providing the endowed fund balance, if applicable.

The Development staff may provide occasions when the sponsors and recipients of named scholarships may meet. The Offices of Admissions and Financial Aid may assist in these meetings.

Additional assignments, the need for which is usually initiated by either the Development Office or the Finance Office, are made by the Assistant Director of Financial Aid after the original assignment each year. The appropriate administrative offices are also notified.

Named scholarships are listed in the College Catalogue.

The Development office will work with donors to arrange appropriate recognition for gifts and will depend on the scale and purpose of the gift. Any public recognition will be discussed and approved by the donors and if they prefer to remain anonymous, their wishes will be honored.

1. Establishing Names for Buildings, Endowments and Programs. Authority to name buildings, facilities and parts of facilities, endowment funds and programs rests with the Board of Trustees upon recommendation from the President. Naming authority has been granted for the following naming opportunities under item 4 and 5 of this document. No advance approval for determining names is implied in this policy.

2. Procedures for Naming a Building or Portion of a Building. When it appears that a contribution to the college will result in a request to name a building or portion of a building for a donor or other individual, the Vice President for Development should be notified. A profile of the donor, the area of interest with any proposed stipulations, and information about how the gift will be paid should be provided. The Vice President for Development will discuss the potential naming with the President and other appropriate College officials.

3. Contribution Guidelines for Buildings, Facilities and Programs. In order for a building, facility or program to be named based upon a contribution the following will normally be met:

a. The amount of the gift will comply with the guidelines following;

b. The gift must be in irrevocable form, e.g., trust, contract for will, or to be paid over a period of five years (longer if necessary in special circumstances) based upon a signed commitment (A deferred gift is not normally acceptable for a facility where construction is dependent upon the gift.);

c. The person for whom the name is assigned has some reasonable connection to the facility or program being so designated.

d. Unless the gift is required to construct the facility to be named, the gift should be used to establish a program endowment restricted to an appropriate department or program closely associated with the facility.

e. If a program or department is to be named, a restricted program endowment supporting that program/department normally will be established.

The following amounts are suggested to establish a naming opportunity for a building, facility or program:

4. Named Endowment Funds

To establish an endowment, a formal written agreement between the donor and Rhodes College must be executed which details the purposes and objectives of the endowment fund. In establishing a named endowment fund, the principal must be sufficient to meet the stated objectives of the endowment agreement.

The Rhodes College Board of Trustees has authorized the creation of named endowment funds for such purposes including academic programs, scholarships, library collections, lectureships, awards, etc. The college will establish a named endowment fund when the minimum level of endowment is achieved.

STATEMENT OF INVESTMENT POLICY AND INVESTMENT OBJECTIVES

Introduction

This statement of investment policies and objectives is hereby set forth in order that:

1. The Board of Trustees and the Subcommittee on Investments shall have clearly defined investment policies and objectives as set forth herein.
2. Assets of the Rhodes College Endowment shall be invested most productively and should experience long-term growth. The primary investment objective of the College is to maximize the financial return over the long term within an acceptable level of risk.
3. The Sub-Committee on Investments shall engage an Investment Advisory Firm (outsourced Chief Investment Officer) to manage College Endowment Assets and shall monitor its performance.
4. There will be a basis for evaluation of the investment performance of the Investment Advisory Firm over a full market cycle.

The Rhodes College Endowment exists exclusively for the benefit of Rhodes College and is an important vehicle for developing and accepting private gifts to the College that will benefit future generations of students. The primary investment objective of the College is to maximize the financial return over the long term within an acceptable level of risk. Such a policy is mandated by prevailing law, tradition, and the legal concept of fiduciary responsibility for funds given to the College. A major function of the Endowment is to manage endowment gifts and to make distributions for the various projects, programs, scholarships, and other areas of interest for which the gifts were designated. To a substantial degree, the College’s ability to achieve its educational mission is dependent upon the performance of the investment portfolio.

The Board of Trustees of the College has delegated to the Subcommittee on Investments the responsibility for management of the total endowment fund assets of the College

The Subcommittee on Investments shall discharge its duties solely in the interest of the Rhodes College Endowment and for the exclusive purpose of meeting the College’s financial needs.  These duties shall be discharged with the care, skill, prudence and diligence under the circumstances then prevailing that a prudent man acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character and with like aims. Such a policy is mandated by prevailing law, tradition, and the legal concept of fiduciary responsibility for funds given to a college. In addition, the Subcommittee will conduct a thorough review of any person or entity providing services to the Endowment to avoid any potential conflicts of interest.

The Subcommittee on Investments is charged with the responsibility of determining the appropriate asset allocation and investment strategies for the Endowment. The duties of the Subcommittee include but are not limited to the following:

• Develop investment objectives and performance measurement standards for the Endowment and to review such objectives, standards, and investment allocations on an annual basis;
• Select investment advisory firm custodians and other service providers as  required by the Subcommittee;
• Monitor adherence to this Policy and evaluate performance based on stated objectives;
• Hold meetings at least semi-annually with Investment Advisory Firm for the purpose of review of performance reports;
• Evaluate performance of Investment Advisory Firm,  investment managers, custodian and other service providers;
• Any specific investment vehicles chosen by the Subcommittee must have appropriate investment characteristics and be managed by organizations that, by their record and experience, have demonstrated their exercise of fiduciary responsibility and their investment expertise;
• Recommend overall endowment investment objectives and policies to the Board of Trustees;
• Recommend and periodically appraise the performance of the Investment Advisory Firm to carry out the duties of Outsourced Chief Investment Officer;
• Monitor the growth of the Rhodes endowment and investment rate of return versus peer institutions and the best performing colleges and universities subset in the annual NACUBO Endowment Study;
• Monitor the recommended model asset allocation of the Investment Advisory Firm on a quarterly basis;
• Decide on retention or sale of real estate given to the College, provided the real estate is not used by the College and is not part of the campus of the College;
• Make recommendations to the Committee on Finance and the Board of Trustees on all aspects of endowment investment management, as needed.

The Subcommittee on Investments may retain the services of investment and financial industry professionals to assist in the management of Endowment assets.  The Subcommittee may hire investment managers, investment advisory firms, bank custodians, attorneys, accountants and/or other professionals as needed.  All entities retained by the Subcommittee will discharge their duties solely in the interest of the Rhodes College Endowment and for the exclusive purpose of meeting the College’s financial needs.  Each firm will be provided a copy of these goals and objectives and will be required to operate within the guidelines.

The Subcommittee is authorized to engage the services of an Investment Advisory Firm, as defined under the Investment Advisors Act of 1940, to assist the Subcommittee in complying with their fiduciary responsibilities and to provide the specialized research and expertise to meet investment objectives and guidelines. Accordingly, the Subcommittee requires the Investment Advisory Firm to adhere to the "prudent man rule" and such other federal or state laws as may be applicable, or which may be applicable in the future. The duties of the Investment Advisory Firm include, but are not limited to the following:

• Develop and monitor an asset allocation model consistent with the long-term investment objectives of the College; monitor endowment allocation and meet with College staff periodically to evaluate the need for rebalancing endowment portfolio;
• Exercise complete investment discretion within the guidelines and objectives stated herein. Such discretion includes decisions to buy, hold, or sell securities / funds in amounts and proportions reflective of the Investment Advisory Firm’s allocation model and compatible with the objectives of the Fund assets;
• Elect both traditional and non-traditional investment strategies for implementation of asset allocation model;
• Conduct screenings of investment managers and keep College staff and Subcommittee on Investments apprised of changes in composition of or allocation to investment managers;
• Act as primary contact with investment managers;
• Monitor adherence with Investment Policy Statement as stated herein and make recommendations to Subcommittee on Investments when changes become necessary or opportunities for enhancement exist;
• Measure investment performance based on relevant benchmarks and databases and prepare monthly performance updates and quarterly performance evaluation reports;
• Provide the College Finance Office Staff and Subcommittee on Investments with timely information on the investment environment, industry trends, and other pertinent information regarding the security markets;
• Hold meetings at least semi-annually with Subcommittee and College Finance Office Staff for the purpose of review of performance reports and asset allocation;
• Inform the Subcommittee regarding all significant matters pertaining to the investment of the assets. The Subcommittee should be kept apprised of major changes in investment strategy, portfolio structure, market value of the assets, and other matters affecting the investment of assets.
• Make adjustments to allocations and/or changes to or additions of managers or investments;
• Rhodes may select to place the Endowment with a registered broker/dealer or bank that will serve as the custodian for funds and securities held in the Endowment. At no time will the Investment Advisory Firm have custody of College funds or securities, however, for all funds invested in the Investment Advisory Firm’s proprietary fund of funds, the Investment Advisory Firm’s affiliate will have custody of College funds through investments in affiliate’s funds.
• In preparing reports and recommendations for Rhodes, the Investment Advisory Firm may rely upon any valuation provided by Rhodes’ qualified custodian, the manager or operator of any limited partnership, limited liability company or other pooled investment vehicle and shall not be required independently to investigate the propriety of any such valuation.  The College understands that quarterly valuations of private investment vehicles are generally unaudited and not independently valued, but reflect judgment by the manager or operator of the pooled investment vehicle.
• Immediately inform the Subcommittee on Investments of any change in the firm’s ownership, including, but not limited to, merger, sale, partial sale, purchase, change in affiliation, or departure of principal or managing director.
• Vote all proxies for the exclusive benefit of the Endowment Fund and maintain accurate voting records.

• Monitor adherence to the Rhodes College Endowment Statement of Investment Policy and Investment Objectives;
• Review and circulate all performance reports provided by the Investment Advisory Firm;
• Monitor endowment allocation and meet with the Investment Advisory Firm periodically to evaluate the need for rebalancing the endowment portfolio, and take such measures as are required to effect rebalancing within approved guidelines;
• Communicate with the Subcommittee on Investments Chair on investment matters including, but not limited to, establishment of Subcommittee meetings,  scheduling of portfolio reviews or manager searches, and results of periodic due diligence meetings with existing investment managers;
• Prepare annually and circulate comparative reports on the education endowment universe and peer institutions, including performance, allocation data, and other pertinent information;
• Advise Chair of Subcommittee on availability of endowment cash for investment.  Meet with Investment Advisory Firm as to recommendations for investments of such funds within the guidelines and present such recommendations to Subcommittee Chair;
• Administer the Board-approved endowment spending policy and maintain donor covenants as prescribed by all binding agreements.

The college employs a constant growth endowment spending policy based upon a corridor approach. Under the College’s spending rate policy, the amount of endowment fund investments appropriated to support current operations is increased by 4% from the previous year provided that the resulting amount does not exceed 5.5% of the average market value of endowment assets for the three prior fiscal years and is not less than 4.5% of the average market value of endowment assets for the three prior fiscal years, calculated as of June 30th each year. Funds must be invested at least one year before receiving an allocation.

The investment objectives of the Rhodes College Endowment will be to attain a total return that provides for preservation of principal and long-term growth in real terms.  Since the Endowment’s Spending Policy is based on total return, current income is not the primary consideration.

The primary investment objective of the College is to maximize the financial return over the long term within an acceptable level of risk. This measure shall be the inflation rate as measured by the Higher Education Price Index, plus a 4% premium return.

The secondary investment objective of the fund is to constrain the volatility of the total fund through a program of broad diversification.  In practice, the fund should have a standard deviation of less than 10 over rolling three and five year time frames. Central to the achievement of this goal is the concept of investing in asset classes and investment strategies that demonstrate relatively low correlation to one another. These correlations and their impact on total fund volatility will be reviewed from time to time by the Subcommittee on Investments to determine the effectiveness of the diversification program.

The investment strategy to be followed in pursuit of the achievement of the Endowment Fund’s investment objectives is determined by the Investment Advisory Firm. This shall be done by using their proprietary asset allocation model. 

Model Allocation Target

Asset Class / Strategy

Approximate Allocation

Growth Oriented Strategies:

U.S. Equities

17.5%

International Equities

12.5%

Global Hedged Equity

15.0%

Private Equity/Venture Capital

15.0%

Emerging Markets Equity

7.5%

Low Volatility Strategies:

U.S. Fixed Income

 7.5%

Absolute Return Strategies

 15.0%

Private Market Real

 10.0%

The Investment Advisory firm (Outsourced CIO) may modify their model allocation from time to time at their discretion. The Investment Advisory Firm will keep the Subcommittee and Staff apprised of variances from the model allocation targets and informed of anticipated changes in the model.
  
It is also understood that, initially, the Private Equity and Private Real Estate allocations may not be funded to the target levels. The investment strategy of these alternative investments is to fund the allocation when opportunities are deemed appropriate. The reason for including alternative investment strategies in the approved asset allocation is to increase the overall diversification of the Endowment and reduce the volatility of the total portfolio due to the relatively low correlation between the non-traditional strategies and traditional strategies (U.S. Stocks, International Stocks, and U.S. Bonds). 

These performance standards provide a framework with which the Subcommittee on Investments can measure investment performance. The Subcommittee’s preference will be to view managers through a full market cycle (cyclical peak to trough) rather than an arbitrary time frame. However, absent adequate cyclical data, the committee will utilize three-year and five-year time frames for analysis. The private investments in real estate and private equity will be judged over a ten-year time frame that is more consistent with the longer run cycle of these investments.

Total Fund

The investment objectives of the fund represent long term expectations and will be evaluated over three (3) year, five (5) year and inception time periods. Performance goals are defined in "real" (in excess of inflation) rates of return and relative rates of return.

1. Total Fund investments should earn over time an annualized real rate of return (over inflation as measured by the Higher Education Price Index) of at least 4% (HEPI + 4%).
2. On a relative rate of return basis, each fund segment and manager should exceed the performance of its respective market index over full market cycles.
3. Performance of the Total Fund and its investment managers will be measured against a peer group of similar funds and is expected to be in the top one-third over full market cycles.

U.S. Large Capitalization Equities

Performance is expected to exceed the S&P 500 index after all management fees.

The investment manager is expected to rank in the top third of the Morningstar universe of investment managers following a core large capitalization equity style over a full market cycle.

The investment manager’s volatility of returns, as measured by the standard deviation of monthly returns, should not exceed the S&P 500 index by 25%.

U.S. Small Capitalization Equities

Performance is expected to exceed the Russell 2000 Index after all management fees.

The investment manager is expected to rank in the top third of the Morningstar universe of investment managers following a small capitalization equity style over a full market cycle.

The investment manager’s volatility of returns, as measured by the standard deviation of monthly returns, should not exceed the Russell 2000 Index by 25%.

International Equities

Performance is expected to exceed the MSCI EAFE index after all management fees.

The investment manager is expected to rank in the top third of the Morningstar universe of investment managers following an international equity style over a full market cycle.

The investment manager’s volatility of returns, as measured by the standard deviation of monthly returns, should not exceed the MSCI EAFE index by 25%.

Global Hedge Equity

Performance is expected to exceed the MSCI World index after all management fees.

The investment manager is expected to rank in the top third in the Hedge Fund Research Institute Fund of Funds universe over a full market cycle.

The investment manager’s volatility of returns, as measured by the standard deviation of monthly returns, should not exceed the MSCI World index by more than 25%.

Absolute Return Strategies

Performance is expected to exceed both Treasury bills+5% and the Lehman Bros. Aggregate Index +3% after all management fees.

The investment manager’s volatility of returns, as measured by the standard deviation of monthly returns, should not exceed the Lehman Bros. Aggregate Index over a full market cycle.

U.S. Bonds

Performance is expected to exceed the Lehman Bros. Aggregate Index after all management fees.

The investment manager is expected to rank in the top third of the Morningstar universe of investment managers following an intermediate duration fixed income style over a full market cycle.

The duration of the investment manager’s portfolio should not exceed the duration of the Lehman Bros. Aggregate Index by more than 20%.

Private Equity

Over ten-year rolling time periods, performance is expected to exceed the S&P 500 index by 3% after all management fees with lower portfolio volatility because of diversification away from the public securities market (not marked to market on a regular basis).

Private Real Estate

Over ten-year rolling time periods, performance is expected to exceed the NCREIF index by 3% after all management fees with lower portfolio volatility because of diversification away from the public securities (not marked to market on a regular basis).

The above listed rates of return and risk targets will be monitored and evaluated for each manager over three-year and five-year rolling periods. Any strategy or manager falling outside their respective return and/or risk ranges will be reviewed by the Committee for appropriate action.

**** Both private equity and real estate are difficult to measure during interim periods. We would expect our manager/programs to rank in the top half of similar vehicles (private equity, real estate, and venture capital).

The Subcommittee on Investments recognizes that proxy voting is a fiduciary responsibility and requires that proxies be voted based on those factors that would enhance the value of the Endowment′s investments. The Committee delegates their authority to vote proxies to the investment managers employed by the College and instructs the investment managers to maintain accurate voting records and to vote proxies for the exclusive benefit of the Endowment. If the Endowment has not retained investment managers or has assets not in the control of an investment manager, then the Trustees shall vote all proxies for the exclusive benefit of the Endowment.

The Bellingrath-Morse Foundation. The College is in an unusual position in that the control of the investment of a substantial part of the College’s total endowment is held in trust by others. The largest and most significant amount is managed by the Bellingrath-Morse Foundation. For this reason, the College works closely with the Bellingrath-Morse Foundation to maximize the benefit to the College within the limits of the various agreements with the Foundation.

The investment strategy of the Bellingrath-Morse Foundation has an impact on the Subcommittee on Investments decisions on investment strategy. Therefore, every effort is made to communicate to the Board of Trustees Subcommittee on Investments shifts in the Bellingrath investment strategy.

Investment Objectives and Policies-Overall Endowment. The primary investment objective of the College is to maximize the financial return over the long term within an acceptable level of risk. Such a policy is mandated by prevailing law, tradition, and the legal concept of fiduciary responsibility for funds given to a college. To a substantial degree, the College’s ability to achieve its educational mission is dependent upon the performance of the investment portfolio.

Selection and Retention of Securities or Investments. Maximum financial return over the long run is the primary criterion underlying all decisions to “buy” or “sell.” A decision “not to buy” for other than financial reasons will be made only in cases where the Subcommittee on Investments determines that such investments would clearly contravene moral or social values. It is difficult to be specific about criteria for such a decision. However, in line with this policy, the Subcommittee on Investments would not invest in companies which, in their judgment, definitely cause social harm by violating existing laws relating to such basic human rights as health, safety or freedom. The Subcommittee on Investments would also not invest in companies whose basic policies do not subscribe to contemporary social values and responsibilities.

Consistent with the same criterion, the College will not buy securities for purposes which are not primarily financial. Securities, therefore, will not be bought primarily for the purpose of influencing a company’s attitude toward moral or social values, or solely to achieve an objective which seems socially desirable.

A decision to sell for other than financial reasons will be considered if, in the opinion of the Subcommittee on Investments, the exercise of rights of ownership, i.e., vote and petition to management, will not, within a reasonable period of time, succeed in changing a company’s attitude toward a moral or social problem which the Subcommittee on Investments believes requires a different policy by management.

Equipment records. Equipment records shall be maintained that include the following information.

• A description of the equipment.
• Source of the equipment, including the College’s internal account number and the federal award number.
• Acquisition date and cost.
• Vendor name.
• Location of the equipment.

Physical Inventory. A physical inventory of equipment shall be taken and the results reconciled with the equipment records at least once every two years. Any differences between quantities determined by the physical inspection and those shown in the accounting records shall be investigated to determine the causes of the difference.

Security and maintenance of equipment. When the equipment is not in use, the room that it is located in shall remain locked.  Equipment shall be stored in locations with appropriate climate control.  The equipment should be inspected at least annually and any normal routine maintenance shall be performed on a timely basis.

Interfund Balances Between Current Fund and Endowment Fund

Cash receipts from gifts for endowment, income on endowment investments, and other sources of cash designated for endowment are normally deposited into the bank account in the current funds. This gives rise to non-interest earning interfund balances. At the end of each month, the Finance Office will review the balance of endowment funds invested in the short-term cash management pool of the College to determine if any of these funds should be reallocated to the College’s Endowment investments or, conversely, to ascertain if any funds should be transferred from Endowment investments to reimburse the cash management pool.

Interest income will be paid monthly to endowment funds invested in the cash management pool at the average monthly rate of the Rhodes Fund shares. Earnings will be computed on the simple average of the beginning balance and the adjusted ending balance.

Handling Contributed Securities

Regarding unrestricted security donations, the broker should be informed of the contribution at the time the security is received by the Finance Office and instructed to liquidate the investment at the Comptroller’s discretion; however, it should be understood that this would anticipate liquidation within a relatively short period of time subject only to the broker’s ability to execute orders in a favorable manner.

The Assistant Director of Accounting shall maintain a list of all securities on hand in the Finance Office along with all securities contributed during the fiscal year, the market value of the securities at the date of receipt, and the income realized from securities liquidated during the fiscal year. A copy of this summarization should be furnished to the President, and to the chair of the Investment Committee to keep them informed of the securities currently being held in the Finance Office as well as the proceeds from liquidated securities. All investment certificates received in the Finance Office that are not sold in a relatively short timeframe should be placed in the College’s lockbox that is held at a local bank as soon as possible. 

Funds received from liquidation of these securities should be deposited in the appropriate accounts in accordance with the College’s policy on cash management.

Petty Cash and Bursar’s Office Funds

Petty Cash funds enable offices and department to offer services to pay cash for minor expenditures. All offices or departments requiring a petty cash fund must contact the Bursar’s Office. All requests for petty cash will be signed by the department chair or manager. These requests will be kept on file in the Bursar’s Office.

Department’s Petty Cash Fund. Funds are disbursed through a Bursar’s voucher and charged to the petty cash Fund 111000, Account 110011. Departments will be held financially responsible for their funds. To keep each fund active, as purchases are made, a bursar’s voucher must be completed with receipts attached and presented to the Bursar’s Office for replenishment of the fund (See Internal Audit below).

Bursar’s Office Fund. Check Cashing Service: Checks are cashed for students, faculty, and staff with a limit of $100 per check. Checks are totaled and deposited daily to Fund 111000, Account 110011 “checks for cash.”

Vouchers. Bursar’s vouchers are used to reimburse departments for cash purchases of $100 or less. Vouchers are used by departments instead of establishing a petty cash fund in cases where purchases are infrequent. Vouchers must be approved by the department chair. Account numbers and receipts must be attached.

Audit. Surprise cash counts of the Bursar’s Office will be conducted by the Comptroller at least once each year. Surprise audits of department petty cash funds will also be conducted approximately once each year. The audit will include not only petty cash funds but checks receipted on miscellaneous and students receipts as appropriate. Auxiliary enterprises which handle cash receipts from programs for the general public should consult with the Comptroller about proper record keeping and cash handling.

Transferring Budgeted Funds to Restricted Fund Balances

Generally accepted accounting principles do not allow the College to transfer money from current fund budgeted income and expense accounts. Similarly, such transfers of money cannot be made out of appropriated or restricted fund balances into current fund budgeted income and expense accounts. Also, gifts may not be made from departmental budgets (such as memorials) and transferred to the College Annual Fund, restricted accounts, or the Endowment.

Appropriated and restricted fund balances can be set up or increased only in the following ways:

• An outside gift to the College restricted for a specific purpose.
• Transfers from other restricted or appropriated fund balances set up previously.
• Transfers from the current fund unrestricted and unappropriated fund balance (the net excess of all prior years revenues over expenses less transfers; i.e. year end surplus).

Appropriated and restricted fund balances can be decreased in the following ways:

• Charging invoices and other expenses which are for the designated purpose of the account directly against the appropriated or restricted fund balance.
• Transfers to other appropriated or restricted fund balances.

Departments which realize that they have incorrectly charged an invoice against one of their current fund budgeted expense accounts should send a memo directly to the Accounting Manager similar to the model below:

• On (date), I incorrectly charged invoice (number) paid to (vendor name) in the amount of $(amount) to account (account number and name). This entire invoice (or part of this invoice in the amount of $ amount) should be charged against account (account number and name). Please correct this error.
     Signed
     Department Head

Financial Information and Controls Review

It is a standard function of the Finance office to conduct periodic reviews of financial information and related controls. Financial information includes the College’s trial balance, quarterly financial statements, annual financial statements, and any selected financial data and ratios that the Finance office may distribute, both internally and externally. All financial statements and data should be reviewed and any values or results that are materially different from expectations should be investigated and resolved prior to the release of the information.

The College’s trial balance should be reviewed periodically during each fiscal year. All balances that vary significantly from expectations should be investigated. Additionally, the trial balance should be reviewed for deficit fund balances in appropriated and restricted funds, and a resolution should be determined for any deficit balances.

Wire transfers/ACH reviews should be conducted to ensure that all wires/ACHs were for an appropriate business purpose and had the proper approvals.  At random times during the year, a second level review should be performed on the College’s monthly bank reconciliations.

In addition to the recurring procedures described above, other areas may be examined as circumstances dictate and as resources allow. 

The college, as a Tennessee not-for-profit educational corporation, shall indemnify any person who at any time heretofore has been, is, or is threatened to be made, a named defendant or respondent in any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative, by reason of the fact that said person is or was a trustee, director or officer of the corporation, or while a trustee, director or officer of the corporation, is or was serving at the request of the corporation as a director, officer, partner, trustee, member or agent of any other entity, or is or was an heir, executor, administrator or personal representative of a trustee, director or officer of the corporation, against judgments, penalties, fines, amounts paid in settlement, and reasonable expenses, including attorney’s fees actually incurred as a result of such action, suit or proceeding, or any appeal therefrom, to the fullest extent permitted for officers and directors by the statutes of the State of Tennessee which apply to the indemnification of officers and directors, including any amendments thereto.

Such indemnification provided for herein shall be made only if it is determined, in the manner set forth in the Tennessee statutes which apply to the indemnification of officers and directors, that:

Whether the suit or proceeding is civil or criminal, such trustee, director or officer of the corporation acted in good faith for a purpose which he or she reasonably believed to be in the best interest of the corporation;

In the case of any criminal proceeding, such trustee, director or officer of the corporation had no reasonable cause to believe his or her conduct was unlawful.

Also, the corporation may indemnify any employee or agent of the corporation to the extent permitted and in the manner provided herein for trustees, directors and officers, if such indemnity is authorized by the Board of Trustees.

The corporation may purchase and maintain insurance on behalf of any person who is or was a trustee, director, officer, employee or agent of the corporation against any liability asserted against them and incurred by them in such capacity or arising out of his or her status as such, whether or not the corporation would have the power to indemnify him or her against such liability hereunder.

Ownership of Inventions: The rights of ownership to all Inventions which result from College Activities shall be the property of the College; provided, however, that:

• Within the ninety (90) days next following disclosure of an Invention to the College under the preceding Section on Disclosure of Intellectual Property (or such further period of time as may be agreed upon by the Inventor and the Vice President for Academic Affairs), the Vice President for Academic Affairs shall determine, and advise the Inventor in writing, whether such rights shall be retained by the College, conditionally retained by the College or shall be released to the inventor; and
• The rights of ownership to every Invention conceived by any Staff member while engaged in other than College Activities shall be the property of that person.

Ownership of Copyrightable Works: The rights of ownership to all copyrightable works prepared while the Staff member is engaged in College Activities shall be the property of the College; provided however that:

• Within the ninety (90) days following disclosure of College copyrightable Work to the College under the preceding Section on Disclosure of Intellectual Property (or such further period of time as may be agreed upon by the Author and the Vice President for Academic Affairs, the Vice President for Academic Affairs shall determine, and advise the Author, in writing, whether such rights shall be retained by the College, conditionally retained by the College or shall be released to the Author; and
• Copyrightable works prepared by a Staff member while engaged in activities other than College activities shall be the property of the Author. 

Ownership of Tangible Results of Research: All Tangible Results of Research shall be the property of the College.

Basic Objective: Rhodes College is a college of liberal arts whose mission is to maintain a community of inquiry, discourse, and experiment in which it is clear that scholarship and teaching are parts of a single enterprise. In the course of education there is an expansion of knowledge and understanding, whether in the arts, social sciences, natural sciences or humanities. Among the activities in the study and expansion of knowledge and understanding are the creation of works in the literary, dramatic, musical and visual arts; and of research in the social and physical sciences potentially producing innovation and technology. The intellectual endeavors and activities of Rhodes faculty, staff, or students may result in products of a tangible nature for which the College and the faculty, staff, or student may deem it advantageous to enter these products into commerce. These products may be the subject of a patent application or a copyrightable work or other tangible material and are known collectively as “Intellectual Property.” 
 
It is the policy of Rhodes College to encourage, support and recognize the contributions of the faculty, and the student body where significant works are created. Likewise it is a policy of the College to honor the legal rights of authors and inventors, as well as the funding entities supporting varied works. In order to recognize the potentially overlapping rights in the complex support structure for the College’s activities, the college has issued this policy on Intellectual Property for the guidance of all participating in the mission of the College. This policy is intended to:

• provide an incentive to creative intellectual effort and the advancement of knowledge
• insure that the respective interests of the College, and supporting sponsor (if any) are considered and protected through the development of fair contracts and procedures;
• assist the Staff and the College to realize tangible benefits from Intellectual Property, and advance and encourage further research within the College with whatever funds accrue to the College from Intellectual Property resulting from College research.

• “College” shall mean Rhodes College.
• “Staff” shall mean any member of the faculty, administration, staff, student body, postdoctoral fellow, or visiting scientist, whether or not they receive all or any part of their salary or other compensation from the College.
• “Inventor” shall mean any Staff member who shall conceive or reduce to practice an invention while engaged in College activities.
• “Author” shall mean any Staff member who prepares any College copyrightable work.
• “Contributor” shall mean any Staff member who shall have contributed substantially to the existence of any item of Intellectual Property.
• “College Activities” shall mean activities engaged in by a member of the Staff by: (a) written assignment of the College administration; (b) contractual agreement with the College or any sponsor; (c) material use of facilities (other than its libraries), or other resources of the College.
• “Intellectual Property” shall mean inventions, College copyrightable works, and tangible results of research.
• “Invention” shall mean “…any new and useful process, machine, manufacture or composition of matter or any new and useful improvement thereof…” as defined under the Patent Laws of the United States.
• “College Copyrightable Work” shall mean copyrightable works owned by the College.
• “Tangible Results of Research” shall mean a physical embodiment of the research effort, including physical embodiments of any invention, or College Copyrightable Work which results from College Activities by any member of the Staff. Such Tangible Results of Research shall include, but not be limited to antibodies, cell lines, new microorganisms, plant lines or progeny thereof; recombinant or other biological materials; integrated circuit chips, computer software, engineering prototypes and drawings, chemical compounds; devices; machines; and models.
• “Sponsor” shall mean any individual or organization that by written agreement with the College shall finance in whole or part any College Activities.
• “New Revenue” or “Annual New Royalty” are defined as revenues received from the licensing and developing of an Intellectual Property after deduction of all costs reasonably attributable to the protection and distribution of such Intellectual Property, including any reasonable expense of patent or copyright prosecution, maintenance, interference proceedings, litigation, marketing or other dissemination and licensing. Net revenues from the following sources are subject to distribution:  option fees; up-front licensing fees; licensing payments; milestone payments; or proceeds from the sale of stock or other equity in the licensee company.

Coverage: These policies shall apply as a condition of appointment or employment by the College to every member of the Staff who during the period of their appointment or employment by the College shall: (a) conceive or first reduce to practice actually or constructively, any Invention; (b) prepare any College Copyrightable Work; or (c) contribute substantially to the existence of any Tangible Result of Research.

Disclosure of Intellectual Property: Every Staff member shall, in writing and in reasonable detail, give the Vice President for Academic Affairs prompt notice of any: (a) Invention; (b) College Copyrightable Work; or (c) Tangible Result of Research which he or she shall desire to have patented, copyrighted or made available to the investigators or the public by commercial or other means, or shall believe or have reason to believe is patentable, copyrightable, or of value to other investigators or the public, or otherwise of commercial value.

Sponsorship of Intellectual Property: The rights of ownership to each item of Intellectual Property produced during activities conducted pursuant to any agreement between the College and any Sponsor shall be determined in accordance with such agreement; however, it shall be the policy of the College to retain title to Intellectual Property whenever possible under state or federal law. Any agreement with a Sponsor pertaining to the ownership of Intellectual Property and assignment thereof shall be made between the College and the Sponsor in advance of the research or other activity that produces the Intellectual Property.

Disagreements: The President shall appoint a Committee on Intellectual Property composed of both faculty members and administrative officers (the Vice President for Academic Affairs shall serve ex officio). The creator of any Intellectual Property that is or might be covered under this Policy (see above for Patents) cannot be a voting member of this Committee. This Committee shall be the body to whom appeals may be made. Whenever legal protection for Intellectual Property is anticipated all persons engaged in such creative activity are encouraged to keep regular notebooks and records, preferably in the form of bound notebooks that are regularly signed and dated by the Inventor(s) as well as periodically signed by one or more witnesses.

Seeking a Patent or Copyright: Whenever the Vice President for Academic Affairs shall determine to seek the patenting or copyrighting of any Invention or College Copyrightable Work, the College shall, without expense to the Inventor or Author provide such professional services as it shall deem to be necessary or desirable for such purpose, and which may include the services of an independent patent organization. The Inventor or Author is obligated to cooperate fully in such effort, including his or her execution of all necessary or desirable agreements, applications, and other forms and instruments. If, at any time subsequently, the College shall terminate its effort to seek such patent or copyright, it shall promptly give written notice thereof to the Inventor or Author who thereupon to the extent allowed by law or any sponsorship agreement shall be free at his or her expense to develop, license, and otherwise use the Invention, patent application, patent or copyright. In this event the Inventor or Author shall receive all benefits of any development, licensing or other use of the Invention, patent application, patent or copyright except that the College shall be entitled to recovery of associated costs.

Transfer or Sale of Tangible Results of Research: Tangible Results of Research may not be transferred or sold to any party outside the College before: (a) a disclosure of the Tangible Results of Research has been submitted to the Vice President for Academic Affairs and (b) the Contributor(s) has been notified by the Vice President for Academic Affairs of any required conditions of such transfer or sale. Such notification shall be made within thirty (30) days following the disclosure of Tangible Results of Research.

Promotion and Licensing: In interpreting and applying these policies, the College shall, by such means as it shall deem to be most effective and appropriate in each case, act to bring to the public all Intellectual Property to which the College has rights of ownership in whole or part. Such means may include, but shall not be limited to, agreements for the development, patenting, copyrighting, promotion, licensing, printing, distributing or manufacturing of any Intellectual Property; and in every case the College shall advise the Inventor, Author, or contributor of the terms of any such proposed agreement. No agreements will be entered into by the College without the review of all Inventors, Authors or contributors. Any disagreement between the College and the Inventor(s), Author(s) or contributor(s) concerning a proposed agreement will be resolved in a timely fashion by the Committee on Intellectual Property.

Proceeds from Distribution of Intellectual Property:

1. Invention Proceeds. Subsequent to the College’s recovery of funds that were invested in patenting, marketing or developing Intellectual Property, the Contributor(s) and the College will share in the net revenue received from the Contributor’s Intellectual Property(ies) owned by and licensed from the College. The Contributor(s) will receive 50% of the net revenues, and the College will receive 50%. It is understood that one-half of the College’s portion will be for the primary purpose of advancing and encouraging further research and intellectual property development within Rhodes College.

In the case of multiple Inventors, the Inventors’ share will be distributed among the Inventors in accordance with a written agreement signed by all Inventors; or, if there is no such agreement, all Inventors will receive an equal share.

If inventorship is shared among College Inventors and inventors at one or more other institutions, the College will negotiate with the one or more other institutions concerning exclusive licenses and distribution of revenues. College net revenues from such agreements will be distributed to inventors at the College using the distribution formulae discussed above.

2. Copyright Proceeds. These will follow the same distribution and stipulations as Inventions listed above.

3. Tangible Results of Research Proceeds. To the extent allowed by law, where any Tangible Result of Research is not within the scope of the claims of a patent, patent application, or copyright, each Contributor shall share in any net revenue or annual net revenue to the same extent a Contributor shares in proceeds listed above for Inventions and Copyrights.

Sponsors: Other Organizations. If and when any conflict shall arise between these Policies and any condition or conditions of (a) any proposed grant from or contract with any organization offering to act as a Sponsor or (b) the patent, copyright or intellectual property policies and procedures of any other organization to which any joint appointment or any affiliation or consulting agreement is made, such conflict shall be referred to the Committee on Intellectual Property. Following consideration of the conflict the Committee shall recommend a course of action to the College administration. It is incumbent on the College to take all reasonable steps, including but not limited to appropriate legal action, to protect and advocate issues on its behalf and those of the Inventor, Author or Contributor in the event of a conflict with a Sponsor.

Release of Rights of Ownership. The Office of Academic Affairs, for reasons and upon terms deemed to be satisfactory by its office, release on behalf of the College at any time any Invention, patent, patent application, College Copyrightable Work, copyright or right of ownership to Tangible Results of Research to its Inventor, Author or Contributor. 

Copyright: Within higher education, it has been the prevailing academic practice to treat the faculty member as the copyright owner of works that are created independently and at the faculty member’s own initiative for traditional academic purposes. Examples include, but are not limited to, class notes and syllabi, books and articles, works of fiction and nonfiction, poems and dramatic works, musical and choreographic works, pictorial, graphic, and sculptural works, computer programs, computer-generated works, and educational software (commonly known as “courseware”). This practice has been followed for the most part, regardless of the physical medium in which these “traditional academic works” appear, that is, whether on paper or in audiovisual or electronic form. This practice should also ordinarily apply to the development of courseware for use in programs of distance education. Situations do arise, however, in which the College may fairly claim ownership of, or an interest in, copyright in works created by faculty members. Three general kinds of projects fall into this category: special works created in circumstances that may properly be regarded as “made for hire,” negotiated contractual transfers, and joint works” as described in the Copyright Act.

1. Works Made for Hire. Although traditional academic work that is copyrightable – such as lecture notes and courseware, books, and articles – cannot normally be treated as works made for hire, some works created by College faculty members do properly fall within that category, allowing the institution to claim copyright ownership. Works created as a specific requirement of employment or as an assigned institutional duty that may, for example, be included in a written job description or an employment agreement, may be fairly deemed works made for hire. Even absent such prior written specification, ownership will vest with the college or university in those cases in which it provides the specific authorization or supervision for the preparation of the work. Examples are reports prepared by a member of the Office of Academic Affairs or by the chair or members of a faculty committee, or college promotional brochures prepared by a director of admissions. The Copyright Act also defines as a “work made for hire” certain works that are commissioned from one who is not an employee but an “independent contractor.” The institution will own the copyright in such a commissioned work when the author is not a College employee, or when the author is such a faculty member but the work to be created falls outside the normal scope of that person’s employment duties (such as a professor of art history commissioned by the institution under special contract to write a catalog for a campus art gallery). In such situations, for the work-made-for-hire doctrine to apply there must be a written agreement so stating and signed by both parties; the work must also fall within a limited number of statutory categories, which include instructional texts, examinations, and contributions to a collective work.
2. Contractual Transfers. In situations in which the copyright ownership is held by the faculty member, it is possible for the individual to transfer the entire copyright, or a more limited license, to the College or to a third party. As already noted, under the Copyright Act, a transfer of all of the copyright or of an exclusive right must be reflected in a signed document in order to be valid. When, for example, a work is prepared pursuant to a program of “sponsored research” accompanied by a monetary grant from a third party, a contract signed by the faculty member providing that copyright will be owned by the College will be enforceable. Similarly, the College may reasonably request that the faculty member – when entering into an agreement granting the copyright or publishing rights to a third party – make efforts to reserve to the institution the right to use the work in its internally administered programs of teaching, research, and public service on a perpetual, royalty-free, nonexclusive basis.
3.  Joint Works. Under certain circumstances, two or more persons may share copyright ownership of a work, notably when it is a “joint work.” The most familiar example of a joint work is a book or article written, fully collaboratively, by two academic colleagues. Each is said to be a “co-owner” of the copyright, with each having all the usual rights of the copyright owner provided that any income from such uses is shared with the other. In rare situations it may be proper to treat a work as a product of the joint authorship of the faculty member and the College, so that both have a shared interest in the copyright. Whoever owns the copyright, the College may reasonably require reimbursement for any unusual financial or technical support. (“Unusual financial or technical support” is defined as follows: Extensive un-reimbursed use of major College laboratory, studio, or computational facilities, or human resources. The use of these facilities must be important to the creation of the intellectual property; merely incidental use of a facility does not constitute substantial use, or does extensive use of a facility commonly available to all faculty or professional staff (such as libraries and offices), nor does extensive use of a specialized facility for routine tasks. Use will be considered “unusual” and facilities will be considered “major” if similar use facilities would cost the creator more than $5,000 (five thousand dollars) in constant 1984 dollars if purchased or leased in the public marketplace. Creators wishing to reimburse the College for the use of its facilities must make arrangements to do so before the level of facilities usage for a particular intellectual property becomes substantial as defined.) That reimbursement might take the form of future royalties or a nonexclusive, royalty-free license to use the work for internal educational and administrative purposes. This means that the course developer and the College must reach an understanding about the conditions of portability and commercialization of faculty work developed using substantial College resources. Ordinarily, such an understanding will be recorded in a written agreement between the course developer and the College on a course-by-course basis.

Overview. Visitors to the College may receive an honorarium payment for services performed or reimbursement of expenses incurred during their visit. The following sections explain the procedures for requesting these types of payments and the documentation required before payment can be made.

Section I. Honorarium Payments to U.S. Citizens

Required Documentation. To ensure that requests for payment can be processed efficiently, please assist us by providing the following information for all prospective honorarium recipients:

1. A check request form which includes the following:

• Full legal name;
• Complete mailing address;
• Social security number (SSN);
• Description of services performed;
• Account Index code or Fund, Org, Acct, and Program number
• Amount of payment

2. Accompanying the check request, please also provide:

• Letter of invitation, or copy of news release for the event;
• Completed W-9 form, Request for Taxpayer Identification Number and Certification.

Taxation and Reporting. Payments for personal services are taxable income and must be reported to the IRS on form 1099-Misc. If the recipient is paid a cumulative total of $600 or more during a calendar year, he/she will receive a 1099-Misc by January 31 of the following year to be used when filing their personal tax return.

Section II. Honorarium Payments to International Visitors

If payment is to be made to an individual who is not a citizen of the U.S., additional information is required to ensure that we comply with immigration and tax laws. It is recommended that this information gathering process commence upon invitation of the international visitor since immigration rules dictate what non-immigrant visa status is required for eligibility of payment.

In November 1998, Congress passed the American Competitiveness and Workforce Improvement Act of 1998 (ACWIA) granting academic institutions the authority to pay honoraria and associated expenses to visitors holding a specific non-immigrant status who are engaging in “usual academic activities.” The ACWIA defines “usual academic activities” to include lecturing, teaching, consulting, conducting research, attending meetings, symposia or seminars, and sharing knowledge. Performances or readings meet this definition if the event is free and open to the public and/or students.

The following criteria, or B honorarium rules, must be met for an honorarium payment to be made:

• The visitor must enter the U.S. with B visa status. The immigration categories below meet this criterion:
  • B-1, Visitor for Business
  • B-2, Visitor for Pleasure
  • VWB, Visa Waiver for Business
  • VWT, Visa Waiver as a Tourist
  • Canadian entering without inspection
• The academic activity the visitor is engaging in may not exceed nine days.
• Other honoraria or associated expense reimbursements may not have been accepted from more than five institutions or organizations in the previous six-month period.

Required Documentation. In addition to the documentation listed in Section I, please provide the following information when payment is requested:

• Completed W-8BEN, Certificate of Foreign Status form;
• Foreign Visitor Compliance Statement;
• Individual Taxpayer Identification Number (ITIN)

Taxation and Reporting. Payments for personal services to a foreign individual are subject to 30% federal withholding under Internal Revenue Code Section 1441 unless a tax treaty exemption is available. The income, any withheld taxes, or treaty benefits enjoyed are reportable on form 1042-S, Foreign Persons U.S. Source Income Subject to Withholding. The honorarium recipient will receive a 1042-S form from Rhodes by March 15 of the following year to be used for filing their personal 1040NR tax return.

• Tax Treaty Benefits. To claim a reduced rate or exemption from the applicable 30% withholding, the following is required:
  • The individual must be a resident for tax purposes of a recognized treaty country and meet the requirements specific to the treaty articles and;
  • The individual must have a U.S. Social Security Number or Individual Taxpayer Identification Number (ITIN)
  • The individual must complete form 8233, Exemption from Withholding on Compensation for Independent (and Certain Dependent) Personal Services of a Nonresident Alien Individual.

Please note that without a SSN or ITIN, we are required to withhold 30% from the gross payment amount without exception.

Section III. Reimbursements of Expenses

Required Documentation. Expense reimbursements for both citizens and non-citizens are not taxable or reportable as income as long as the accountable plan rules are met by providing receipts to substantiate the expenses. When requesting an expense reimbursement for an individual, please provide the original receipts for any item over $25 for items such as:

• travel expenses,
• lodging expenses,
• transportation expenses,
• meals,
• or other incidentals.

These receipts should accompany the check request form with the individual’s information as listed in Section I. The recipient’s SSN or ITIN is not required for this type of payment since it is not considered income for personal services.

General Policy. Purchasing for the College is a function of the Administrative Services division and administered by the Purchasing Manager. The Purchasing Office has responsibility for procuring virtually all equipment and supplies as well as contracting for certain services for the College. The Purchasing Office provides assistance to all College departments in satisfying their requirements at the lowest possible cost consistent with quantity, quality, and delivery requirements.

The Purchasing Office is authorized to negotiate the purchase of materials, equipment, supplies, and services (see exceptions below). Selection of sources and vendors is normally the responsibility of the Purchasing Office by use of the Standard Purchase Order. Suggestions for sources by departments are welcomed and will be considered whenever economically feasible. Orders or commitments by the departments should be accompanied by a purchase order approved by the Purchasing Office. Purchases considered exceptions to the above are divided into the following categories.

Category A. Category A exceptions are purchases made through independent order systems maintained by certain departments. Departments allowed to maintain standard purchase orders are to contact the Purchasing Office. Purchasing will log out purchase orders by number to the department. Departments who maintain standard purchase orders must return the yellow and pink copies to the Purchasing Office whenever a purchase order has been placed by one of these departments.

Exceptions to Category A:

• Library books
• Physical Plant supplies and equipment
• Special purchases by the President’s Office
• Computer equipment and software
• Scientific supplies, equipment, and teaching supplies and materials.
• Contracts for outside printing, typesetting, camera and art work arranged by the Communications Office.
• Transportation and travel, other than athletic charter service.

Category B. Category B exceptions are purchases of items selected on a regular basis by individual departments without the assistance of the Purchasing Office. These purchases should, however, be processed through and approved by the Purchasing Office by issuance of standard purchase orders.

Exceptions to Category B:

• The Meeman Center bookstore books
• Special materials used in teaching and administration such as periodicals, books, testing programs, memberships, grants and films.
• Contracts for computer maintenance and license agreements negotiated by Information Technology Services.

If a department wants independently to place standard purchase orders, the department head must contact the Purchasing Office for approval and proper training.

No College employee is authorized to purchase, in the name of the College, items for personal use. No employee is authorized to submit a request or approve a purchase order for items for personal use, nor may petty cash funds be used for such purposes. This stipulation shall apply regardless of payment of normal sales and other taxes by the employee, directly to the vendor or to the vendor through the College. The expense to the College of such transactions is prohibitive.

Exempt from this rule is the inclusion on maintenance contracts of personally owned typewriters used on campus primarily for teaching or administrative purposes. The contractor must be aware of any personally owned machines on the contract and must know that the machine owner is paying for service through the College.

The special ordering of books by employees through the Bookstore is also allowed. Any other personal purchases must be approved by the Vice President for Finance and Business Affairs.

Some vendors who sell to the College will extend a courtesy discount to College employees. Any transaction between employees and these vendors must be made on a private basis. The employee must pay tax as not doing so endangers the College’s tax exempt status.

The Purchasing Office may give general advice regarding personal purchases but cannot make in-depth studies or detailed inquiries on behalf of employees.

Year End Purchases. If an item is to be paid from the current fiscal year’s operating (departmental) budget, that item must be received on campus by June 30th and the invoice must be dated prior to or on June 30th. Ample notice must be given to the Purchasing Office to insure a June 30th delivery. This applies to all types of purchases made by any department, even office supplies. Keep in mind some items can take weeks or months to ship. No purchases can be made after June 1, without the permission of the Vice President for Finance and Business Affairs.

Unauthorized Purchases. No individual has the authority to enter into purchase contracts, or in any way obligate the College for a purchase unless specifically authorized by the Vice President for Finance and Business Affairs, the President, the appropriate Dean or the Purchasing Office. An individual making an unauthorized purchase may encounter a personal obligation to pay the vendor. Firms ordinarily doing business with the College are aware of this policy and are advised that all purchases chargeable to the College must be authorized by an official College purchase order signed by the Purchasing Office. Exclusive of the petty cash and check request procedures, the College will not reimburse employees for the cost of any such purchases on behalf of the College unless previous arrangements have been made and the Purchasing Office notified.

Standard Purchase Requests. To obtain materials with a value greater than $1000, departments should anticipate requirements as far in advance as possible to insure that enough lead time is provided for adequate research, solicitation of bids, and delivery time. The department should clearly state if it is authorizing the purchase of the needed item(s) or if the department first wants price quotations and detailed information on the item(s) before the purchase is made.

Requests for goods to be purchased through Purchasing should include:

• an accurate description of articles needed
• estimated cost of items (or spending limit the department wishes to place on the purchase)
• if price quote is needed before order is placed, please inform the Purchasing Office
• suggested sources, if any known or preferred
• account number to which the purchase will be charged
• delivery instructions: when, where (department, building and room number), and to whom.
• signature of individual responsible for the department’s budget.

The Purchasing Office will then proceed with an investigation of sources for the needed items. In most cases the Purchasing Office will confer with the requesting department regarding information obtained, samples, and prices. Purchasing decisions are generally made as a result of these discussions and approval to issue purchase orders is often verbal.

In some cases the department may wish to examine catalog and price materials themselves to determine requirements. The Purchasing Office maintains product information files, and departments may use them provided they are returned promptly. The Purchasing Office is also available to locate sources and obtain product information on any items not included in these files.

Standard Purchase Orders. The purchase order is the instrument by which most College supplies, equipment, and services are procured. It is the seller’s authority to ship and to invoice for the goods specified on the order, and it is the buyer’s commitment for the value of the goods ordered. It a legal document which expresses the College’s part of a contract of sale. Once accepted, establishing an agreement, it is a legally binding contract.

Procedure. A five-part purchase order is issued by the Purchasing Office for items which are not listed under Check Request Payment Method. Essential information required on a purchase order includes:

• Purchase order number
• Bid number (if applicable)
• Date of order
• Name and address of vendor
• General instructions (e.g. marking of shipments, shipping address)
• F.O.B. (point at which vendor’s responsibility of freight charges terminates)
• Shipping instructions (e.g. destination, carrier, and traffic routing to be specified)
• Cash discount terms
• Quantity and description of material ordered
• Price, both unit and extended
• Desired delivery date (on or before)
• Other special terms and conditions as may be necessary for clarification of the order
• Account number to be charged
• Purchasing Office staff member’s signature or an authorized member of a department 
• Whether the order is an original order or confirmation only
• Name of the person with whom the order was placed

The Purchasing Office will fax purchase orders for departments if the department asks. Most vendors will take a verbal P.O. #, but a hard copy should be sent to the company to prevent any misunderstandings and to assure correct pricing. The green and gold copies of purchase orders will be returned to the department chair. The green copy is the department’s file copy which can be used to record shipment receipt dates, quantity received or backordered, amounts of money approved for payment, date invoice approval form is sent to the Finance Office, and vendor’s invoice information. The gold copy should be attached to the vendor’s invoice with approval for payment form and submitted to the Finance Office.

Changes. Any change in a purchase order after the order is placed alters the contract with the vendor. Please notify Purchasing and the vendor so the purchase order can be promptly updated.

Bidding Procedure. When time permits and the estimated cost of items is large enough, requests for written quotations will be sent. Quotations are solicited from the widest practical selection of vendors with proven performance in the areas of price, service, quality, and delivery. These factors, as well as product availability, proximity, and technical competence, will be considered in the award of bids.

Verbal Rush Orders. Verbal orders (usually an emergency or an item which can only be ordered through one source—also see under General Policy, Category B) should be kept to a minimum but a purchase order number may be obtained from the Purchasing Office when it becomes necessary for a department to place a verbal order via the telephone or a visiting sales representative. To initiate a verbal transaction the authorized person in the department must contact Purchasing with the vendor name, amount of money to be spent, account to be charged, and description of items needed. A purchase order number will be issued at the discretion of the Purchasing Office. Proper planning eliminates many rush transactions but real emergencies will be handled as expeditiously as possible.

Delivery. The College receives goods shipped in many ways; i.e. by truck (common carrier), U.S. Postal Service, United Parcel Service, FedEx, local company-owned vehicles, etc. Since the College does not have a central receiving area, many people are involved in receipt of goods. Large orders for one department are generally delivered directly to that department, and it is imperative that departments specify delivery location in detail. (Example: “Ship to Rhodes College, Attention Purchasing Dept., Physical Plant Building.”)

Items delivered by mail, FedEx or UPS are distributed through mail services. It is imperative that ordering departments instruct vendors to ship to the attention of a department and appropriate person. Departments are notified of receipt and should make arrangements to pick up their orders promptly as space is limited.

Items that are part of a large order for several departments are handled by Purchasing. When the invoice arrives for a multi-department order, the charges are approved by the Purchasing Office. Departments will have already been asked to provide correct account numbers. Copies of the invoice approval form will be forwarded to the departments.
 
Receiving: When material received is not acceptable (i.e., defective, damaged, not as ordered, or not ordered at all) notify the Purchasing Office immediately. Purchasing will assist the departments with filing a claim or with return or exchanges of incorrectly shipped items as long as the department has followed the proper procedures in receiving the items. Departments will be required to complete the appropriate forms from freight companies. Here are a few tips to aid you in receiving goods:

• Except in the case of UPS and U.S. Postal Service deliveries, which are handled through the mailroom, you’ll always be asked to sign something to show you’ve received the goods. Be sure that the number of cartons or packages you sign for is indeed the number the deliverer has brought in. Note any shortages or overages on the delivery ticket. Many items delivered by freight lines are received at the Physical Plant Building, but some freight deliveries go directly to the building.
• If cartons are damaged, be sure to note it on the ticket you sign. It’s wise to go ahead and open the carton(s) to see if the damage has affected the contents. Get the driver to sign the delivery ticket (all copies).
• Never refuse a shipment because it is damaged. Always leave the cartons exactly where they were delivered (otherwise, the freight company can claim we damaged it by moving it after delivery). Don’t throw away anything until the claim has been settled.
• Never throw away packaging materials until you’re satisfied that the contents are undamaged and complete. Check packing slips against what’s actually in the cartons.
• If you’re uncomfortable about receiving a shipment and need help, contact Purchasing who will be happy to assist you.
• Report damages, shortages, etc. to Purchasing so we can help you get the order straightened out.

Correspondence. Correspondence concerning quotations, orders, delivery, loss, or damage, returns, i.e., any communication related to any purchase or proposed purchase, should be handled by the Purchasing Office. If departments communicate directly with vendors, the Purchasing Office should be notified. This simplifies the routing of any responses received by Purchasing from the vendor, particularly when the department or purchase order number is not mentioned in the vendor’s correspondence.

Any information regarding a student other than what is called “directory information” is considered, by law, classified and may not be released to a third party without the written consent of the student. This policy means that the Registrar’s Office must have a written request for a transcript to be sent out and that a professor does not have an automatic right of access to a student’s transcript, academic record, or permanent file. If the professor is determined to have “legitimate educational interest” in the record, an exception can be made. In most cases, a staff member of the Registrar’s Office will ask why the record is needed. The request may be denied if, in the opinion of the staff member, the rationale for the request is not sound.
 
On the other hand, a professor may inspect the record and file of an advisee or a student in the professor’s class in order to determine why the student is performing poorly. A professor may also review the record of a student in order to help prepare recommendations that have been requested by the student. Most of these records are available online on the Web for Faculty via BannerWeb. Requests for additional information about students should be made to the Registrar’s Office following the guidelines stated above.

Many advisors maintain a file for each of their advisees containing information regarding the advisee, including grades (midterm and final), copies of petitions, probation or suspension letters, and readmission letters. This folder may be maintained while the student is enrolled, but it should be discarded or destroyed when the student graduates or withdraws from the College. If the student changes advisors, the folder should be forwarded in person to the new advisor.

Again, this folder is confidential and should be treated according to the same guidelines as those stated above for the permanent record maintained in the Registrar’s Office. According to federal laws, the student may have access to any information kept in such a folder maintained by the advisor.

Any information of this type should be treated as confidential and should be kept in a secure place, being released to or discussed with only the student involved. In the same way, information available online should also be treated as confidential as it is covered by the federal law dealing with confidential records (commonly known as FERPA). (See the Privacy Act in the Student Handbook, for the Rhodes policy in relation to the federal legislation in this area.)

The purpose of the Alumni Office is to promote Rhodes, to deepen the loyalty of the alumni, and to encourage a mutually beneficial relationship between Rhodes and its alumni. Alumni programs are designed to encourage former students to continue to participate in the development of the College. Annual events and programs include Homecoming celebrations, class reunions, regional alumni events and publications. The Alumni Office provides volunteer opportunities for alumni to serve the College in such capacities as member of the Executive Board of the Rhodes International Alumni Association, class president, regional event host, admissions volunteer, and other ad hoc volunteer positions to involve them in the life of the College.

Alumni Awards.  The Distinguished Alumni Award, the Outstanding Alumni Volunteer Award, and induction into the Athletic Hall of Fame are presented annually to alumni to recognize outstanding professional achievements and/or leadership and service to the College. The Alumni Office also instills the responsibility and honor of alumni status to Rhodes students through student volunteer opportunities such as the Rhodes Ambassadors and by activities that build class identity such as the annual senior toast and induction to the Alumni Association during Commencement weekend.

Alumni Office. The Alumni Office assists in the evaluation of institutional effectiveness by surveying Rhodes alumni periodically. Up-to-date records are maintained on the location of former students to ensure that alumni are kept well-informed about the activities, achievements, and needs of the campus community.

Records of Alumni and Friends.  The records of alumni and friends of the College are to be kept confidential and for the official use of the College and its departments.

Through limited access to the records in the form of personalized lists, the College encourages the strengthening of its alumni network. Alumni may request a list containing classmates, alumni in a particular profession, or alumni in a geographic area, etc. These lists are to be used only to build the Rhodes network and are not to be used by the individual for solicitation of his or her own business or funds.

All other requests for lists must be made in writing and must be approved in writing by the Alumni Director. A copy of the intended correspondence must be included with the request. Lists used by volunteers in service to Rhodes are provided without change; others will be provided at cost.

The Physical Plant Department is committed to energy conservation wherever possible. The Department has a computer-based energy management system. The system monitors campus buildings and is designed to optimize energy consumption and expenditures where possible. In order to optimize energy consumption, the Department will utilize night, weekend and holiday temperature “setbacks.” Buildings not generally open to the public during nights, weekends or holidays will be monitored closely to determine if HVAC systems need to be running. Thermostats in buildings will be raised/lowered by the Energy Management System to the appropriate “setback” to achieve energy savings. Temperature set points of 68 degrees in the winter and 74 degrees in the summer will be utilized campus-wide as a general rule.

• The Department will strive to comply with the following goals:
• All facilities will be operated utilizing the most energy efficient methods and provisions.
• Efforts will be made to reduce energy consumption in all areas of the College where practical.
• The Department will educate students, faculty and staff of the need to reduce energy consumption where possible.
• The Department will cooperate with all federal, state, and local regulatory bodies in accomplishing energy conservation throughout the campus.

The Clough-Hanson Gallery, located in Clough Hall, is under the direction of the Chair of the Art Department during the months of October through May, and under the direction of the Curator of the Clough-Hanson Collection during the months of June through September. This schedule allows for a variety of exhibits to be seen including traveling exhibits, student work, items in the Clough-Hanson College, and special exhibits such as in connection with Memphis In May.

Persons wishing to show their work must have permission in writing from the appropriate director of the Clough-Hanson Gallery, depending upon the month in which they request space. Persons wishing to make suggestions for exhibits should contact the Chair of the Art Department or the Curator of the Clough-Hanson Collection.

College Events Office. The Events Management System is the responsibility of the Manager of Campus Scheduling who acts as the Facilities Administrator for Rhodes. Any questions concerning the system should be directed to the College Events Office, 901-843-3888.

How to Reserve Space.

On-Campus Requests. Requests by on-campus groups/individuals for the use of campus facilities throughout the calendar year must be initiated by completing a space reservation request on the Events Management System. Booking instructions are available on the College Events webpage.

For personal use of College facilities, see Fees for Space and Service.

Off-Campus Requests. Requests should be initiated with the College Events Office, 901-843-3888.

Not-For-Profit Space Requests. Not-for-profit groups are normally offered discounted rental rates for space. Requests may be made up to six months in advance of the proposed event date. On a space available basis and for appropriate purposes, recognized not-for-profit organizations may request special permission for use of Rhodes facilities without rental fees. However, if approved, groups are responsible for actual costs incurred for special services, housekeeping and campus safety.

Contractual Use of Campus Facilities. Rental of campus facilities is contracted through the College Events Office. Off-campus organizations may contract for facility use if the use is consistent with the purposes of the College and there is written agreement as to the specific use of the facilities, dates, times, anticipated numbers and fees. Any contract with an off-campus group for regular extended use during the academic year will contain a caveat that an occasional substitution of rooms may be necessary if a conflict for use of space arises because of academic need. In all such instances, academic needs of the College have priority. The College reserves the right to substitute rooms if necessary.

A group contracting for the use of Rhodes facilities for a public event must include in any printed materials or advertisements the statement: “Facilities for this meeting are provided as a service by Rhodes College. This service in no way implies College sponsorship or endorsement.”

Special note: Non-Rhodes events are required to carry adequate liability insurance.

Fees For Space and Service. The College does not charge Rhodes student groups, faculty or staff for their official use of College facilities. Individuals or groups outside their official capacity who request special services from such departments as Maintenance, Housekeeping, Housing, Campus Safety, Rhodes Dining Services, Information Technology Services, or the Meeman Center will be charged a rental fee and are expected to cover the costs for any additional expenses incurred by the College. Groups who wish to use space on campus should contact the College Events Office for fee information (901-843-3888). While the College does not rent space indiscriminately to all who request, the College is willing to rent its facilities to organizations whose purposes are consistent with the purposes of the College.

Special note: Non-Rhodes events are required to carry adequate liability insurance.

WHO MAY REQUEST A SPACE RESERVATION

Academic classes have first use priority in Rhodes College facilities. The College Events office will consider the following list when scheduling space (other than regularly scheduled academic classes) on Rhodes campus: 

• College Events: Open Rhodes, Opening Convocation, Homecoming activities, Commencement activities, Family Weekend, Lecture Series, Etc.
  • Definition: An event is termed a “college” event if its basic intent is to provide to the College community as well as the greater Memphis community an educational opportunity representative of the educational mission of Rhodes. (Example: Springfield Lecture Series)
  • Scheduling: It is strongly recommended that no departmental or large student organization/body event should conflict with a college event.
  • Support: Due to the obvious public relations implications of a “college” event the sponsors of such events can expect active participation by Communications, Physical Plant, College Events and Campus Safety in publicity, announcements, mailings, and physical setups for the event. Normally, an administrative officer of the College or a faculty/staff member is designated to host the event, and this person is active in presenting the event. Advanced planning for a “college” event requires the coordinated efforts of many persons. Scheduling should occur a year or more in advance and support planning should begin three months in advance of the date of the event.
• Departmental Events: Career Services Fair, Meet the Firms, Admissions Preview, Admissions Open House, Intramural and Club Sport Usage, Physical Education Classes, etc. 
  • Definition: A “Departmental” event has the basic intent to enhance/enrich/augment the academic program of the sponsoring department. (Example: The English Department’s Pearce Shakespeare Lecture) Though the event may well appeal to students, faculty, and others outside the academic department, its usual audience is within a department. In most cases a “departmental” event will relate to the program of the major in the department or to current developments in major-related fields. The general nature is more informal reflecting the fact that it is an extension of an academic program, not a special event sponsored by the College at large.
  • Scheduling: It is strongly recommended that no departmental or large student organization/body event should conflict with a college event.
  • Support: The sponsoring department has full responsibility for organizing and implementing the event. The sponsoring department is responsible for all logistical arrangements and planning should be done with a smaller audience in mind. Classrooms and seminar rooms should be reserved appropriate to the anticipated audience. It is likely that a mid-afternoon to late-afternoon time schedule is preferred. The presentation might even take the place of a regularly scheduled class. Though spontaneity may be valued in arranging for “departmental” events, it is expected that at least two weeks notice be given.
• Student Activities Events: Concerts, Lectures, Dances, etc.
  • Definition: These events are those supported by the Rhodes Activities Board (RAB) for the student body.
  • Scheduling: No departmental or large student organization/body event should conflict with a college event.
  • Support: The sponsoring organization has full responsibility for organizing and implementing the event. Sponsoring organization is responsible for all logistical arrangements and planning.
• Student Organization-Sponsored Events: Dances, Social Events, etc. must be coordinated with the Student Activities Office. 
  • Definition: Events planned and supported by individual student organizations for their members and guests
  • Scheduling: No departmental or large student organization/body event should conflict with a college event.
  • Support: The sponsoring organization has full responsibility for organizing and implementing the event. If off campus guests are expected, Campus Security must be included in event planning. The sponsoring organization is responsible for all logistical arrangements and planning.
• All Other Events:
  • Definition: Activities that are sponsored by trustees, faculty, staff and/or students but which are not Rhodes activities, may request to rent space with the following qualifications: There must be no conflict with the use by the academic community.
  • The use must be occasional and not regular/on-going
  • The request of an off-campus group (except groups contracted by The College Events) must include an agreement that at least one member of the Rhodes faculty, a Rhodes student or a member of the Rhodes staff will attend the meeting/event, to assume the responsibility for the care of the facility, and to assure that the meeting/event is conducted in an orderly and responsible fashion.
  • Special services required from Physical Plant (such as Housekeeping, Grounds or Maintenance), Campus Safety, Information Technology Services, Meeman Center, etc. may incur fees.
  • Normally the venture should be not-for-profit. The meeting(s) should not be advertised or publicized in such a way that suggests that Rhodes endorses the purpose of the meeting or the organization. All public announcements of such meetings shall include the statement: “Facilities for this meeting are provided as a service by Rhodes College. This service in no way implies College sponsorship or endorsement.
  • Trustees, faculty, staff and students will be charged 50% of the facility rental rate charged to off-campus individuals and groups. All other direct charges for special set-ups, equipment, audio-visual aids, food service, catering and miscellaneous fees will be charged at standard rates applicable to all clients.
    A. Scheduling: No scheduled event in this category should conflict with a college event.    

USE OF ATHLETICS FACILITIES

Athletics facilities are the responsibility of the Director of Athletics and all requests for use of these facilities should be addressed to the Director of the Bryan Campus Life Center. Intercollegiate, intramural and club sport events, physical education classes, individual student, faculty and staff activities and other College programs have priority for use of the athletic facilities. When not used for the foregoing reasons, the following provisions apply:

• Dependent children of faculty and staff may use the athletic facilities when there is no conflict with the users stated above. Use of the facilities is limited to posted operating hours.
• Memberships are available for purchase by persons not directly affiliated with the College.
• Guests of students, faculty, staff, and alumni members must pay a fee to utilize the athletic facilities. Guests must remain with their hosts at all times. Two guests per host are permitted. Dependent children under the age of 18 may not sponsor guests.
• Individuals or groups not covered in the preceding paragraphs will be accorded the use of the facilities at the discretion of the Director of the Bryan Campus Life Center.

USE OF THE BRYAN CAMPUS LIFE CENTER (BCLC)

Authorized Users:

• Students, faculty, staff and members may use the BCLC upon presentation of a valid Lynx Card or BCLC I.D. card.
• Faculty and staff may obtain a BCLC I.D. card for their spouses and dependent children by contacting the Assistant Athletic Director for Facilities. Children age 14 and under must be accompanied by a parent or legal guardian at all times, and thus will not be issued I.D. cards. Children 14 and younger are not permitted in the Fitness Room at any time.

Reservation of Space in the Bryan Campus Life Center (Excluding Crain Reception Hall and McCallum Ballroom). The following areas of the Bryan Campus Life Center may be reserved:

• Three basketball courts in the Multi-Sports Forum,
• Three classrooms,
• Hardin Conference Room,
• Alumni Room, 
• Two Aerobics/Activity Rooms
• The Lynx Lair

Rhodes users can request space in the BCLC through the Events Management System. Instructions are available on the College Events webpage.

For personal use of BCLC facilities, see Fees for Space and Services.

Off-campus users may contact the College Events office at (901) 843-3888. All requests for space in the BCLC are subject to the approval of the Athletics office.

Fees. In some cases, fees may apply to the reservation of space in the BCLC. For specific information, contact the Athletics office.

BCLC Outdoor Facilities. A variety of outdoor field and courts are available for events. Authorized users of the BCLC may utilize the outdoor facilities. Reservation policies are the same as those for the BCLC, with priority given to Intercollegiate Athletics, Intramural and Club Sports, and Physical Education classes.

Alburty Swimming Pool. The Alburty Swimming Pool is to be used only during posted hours of operation when pool staff is present. Unauthorized use will result in a $100 per person fine, and is a punishable trespassing offense. Violators may be prosecuted.

Crain Reception Hall and McCallum Ballroom. Reservation requests for Crain Reception Hall or the McCallum Ballroom should be directed to the College Events Office. Rhodes users can request space through the Events Management System. Instructions are available on the College Events webpage. 

On a space available basis that presents no conflict with use by the campus community (1) Trustees, Full-Time Faculty, Staff and alumni may make requests for personal use of Crain Reception Hall or McCallum Ballroom for their immediate family; or (2) current students may make requests for personal use of Crain Reception Hall or McCallum Ballroom for themselves. Such requests may be made up to six months in advance of the proposed event and should be directed to the College Events Office who will coordinate all arrangements in accordance with Rhodes’ policies and procedures. Fees will be incurred for personal and/or private use of space. Trustees, faculty, staff, students and alumni will be charged 50% of the facility rental rate charged to off-campus individuals and groups. All other direct charges for special set-ups, equipment, audio-visual aids, food service, catering and miscellaneous fees will be charged at standard rates applicable to all clients.

USE OF PAUL BARRET, JR. LIBRARY

The use of the Barret Library is limited to Rhodes students, faculty, and staff; the spouses and children of faculty and staff; certain friends of the College; and members of the Memphis Colleges and Schools Library Consortium. Use of the computer network is restricted to Rhodes students, faculty and staff.

The Director of the Barret Library shall develop the rules governing the use of the Barret Library by Library Consortium members.

• Each Consortium member must have current I.D. from a Consortium institution, a Barret Library card (to be updated each term), and a current signature card on file at the Barret Library;
• Library use by Consortium members must not interfere with the academic pursuits of Rhodes students and faculty;
• Current members of the Memphis Library Consortium are: Memphis Theological Seminary, University of Memphis, Christian Brothers University and LeMoyne-Owen College.

Use of Barret Library by spouses and children of faculty and staff. Spouses of faculty and staff members are encouraged to use the Barret Library. The stacks are open to them with proper identification at the Check-Out Desk. They may check books for a three-week period with the privilege of one renewal. They are subject to fines on overdue books as is the case with all patrons except members of the Rhodes faculty.

While children of faculty and staff members are welcome to use the library, it is requested that those below senior high school age be accompanied by their parents and that books be checked out in their parents’ name. Children who are in high school may register in their own names at the Check-Out Desk and will be granted limited library privileges. Since the Barret Library cannot encourage high school students throughout the city to use its facilities, faculty and staff children are requested not to bring their friends who have no Rhodes connection.

USE OF HARDIE AUDITORIUM

The first priority for use of Hardie Auditorium is as academic space. Food and drink are prohibited in the auditorium at all times. Rhodes users can request use of the space through the Events Management System. Instructions are available on the College Events webpage.

USE OF DOROTHY C. KING HALL

Meeman Center for Lifelong Learning is one of Rhodes’ most active links to the Memphis community. The Center’s objective is to involve the public in programs consistent with the educational goals of the College. Income is generated through facility use and by providing service for conferences and meetings of organizations whose activities are consistent with the College’s mission.
 
To promote the fullest utilization of King Hall, the following procedures and policies have been established for use of the building. This is not to discourage use of the building by faculty, staff and student groups, but to assure that those uses are planned in advance and are flexible enough to be consistent with the mission of Meeman Center. Rhodes users can request use of the space through the Events Management System. Instructions are available on the College Events webpage.

Priorities. The first priority for use of Meeman Center (first floor in King Hall) is for Meeman Center students enrolled in institutes, seminars, continuing education classes and meetings and receptions for clients. These uses are occasional and Rhodes College departments are encouraged to use these facilities for meetings when the space is available. Regularly scheduled meetings are discouraged from using the first floor of King Hall and those that do must be willing to move or reschedule when an income-producing client requests a space. Meeman Center is client/service oriented and may substitute another space when conflicts arise.
 
General Regulations:

• King Hall is a smoke-free building;
• All on-campus users of the building are responsible for having the room set up to meet their needs and for returning it to its original condition immediately following their event. The groups or their campus sponsor(s) are responsible for all cleanup, housekeeping charges, and damage.
•  

USE OF ROLLOW AVENUE OF OAKS, FISHER GARDEN AND OTHER OUTDOOR FACILITIES

Rhodes alumni, Rhodes Trustees, full-time members of the Rhodes faculty, students and staff may request use of Rollow Avenue of Oaks or Fisher Garden for private functions. Rental equipment (e.g., chairs, tables, etc.) is the responsibility of the client. A rental fee is charged for use of facilities. Contact the College Events Office at ext. 3888 for more information.

USE OF BURROW REFECTORY

Rhodes’ dining complex is a major center of student and campus life. As such, when the College is in regular session, all use of dining areas including Neely Hall (south hall of the refectory), Hyde Hall (north hall of the refectory), Goldman Hall and Rollow Hall (east and west halls of the refectory) by any groups must be approved by the College Events Office, who will coordinate with the campus dining services. Rhodes users can request use of the space through the Events Management System. Instructions are available on the College Events webpage.

On a space available basis that presents no conflict with use by the campus community:

• Trustee, Full-Time Faculty or Staff may make requests for personal use for the Refectory and its facilities for their immediate family; and
• Current students may make requests for personal use of the Refectory (e.g. Wedding Receptions) for themselves under the established rental agreement policies and procedures.

Such requests may be made up to six months in advance of the proposed event and should be directed to the College Office, who will coordinate all arrangements in accordance with Rhodes’ policies and procedures. Fees will be incurred for personal use of space. Trustees, faculty, staff and students will be charged 50% of the facility rental rate charged to off-campus individuals and groups. All other direct charges for special set-ups, equipment, audio-visual aids, food service, catering and miscellaneous fees will be charged at standard rates applicable to all clients.

The Rhodes College Mail Center is located on the lower floor of Burrow Hall and operating hours are 8:00 a.m. to 5:00 p.m. Monday – Friday.

The Mail Center is operated by Ricoh, USA and the staff coordinates and manages all mail services for the entire college - faculty, staff, student organizations, and students, including commuter students.

The Mail Center accepts deliveries from the USPS, Federal Express, UPS, DHL, and Amazon.  Other large or shipments via truck requiring a loading dock should be coordinated with and delivered to Physical Plant.

Commercial Window Services
Students, faculty, and staff may purchase stamps, postage, and other shipping services (UPS, Express Mail, Federal Express, etc.) using cash or credit card during retail business hours 8:00 a.m. to 5:00 p.m. – Monday through Friday.

Departmental services including stamps, shipping services, and metered mail must accompany a Mail Services Request Form to ensure proper billing to a Rhodes departmental account number. 

Student Mailboxes
Students are assigned mailbox numbers, which they will keep for the duration of their time enrolled in the college. Students will receive an email notification when mail or a package is checked in to the Ricoh TRAC system. Students will also receive up to three email reminders for items not yet picked up; reinders are sent every three days.  

To access mail and packages, students scan their Rhodes ID at the kiosk located in the Mail Center lobby to alert Mail Center staff to retrieve their items. A Rhodes ID (or other form of photo identification) and signature are required to check items out of the Center.  

It is important that the student’s complete name and mailbox number is included in the recipient address and should be in the following format:

JOHN DOE
Rhodes College
2000 North Parkway, Box 1255
Memphis, TN 38112

If students are away from campus for an extended period and wish to have their mail and packages forwarded to their home or other address, they must advise the Mail Services staff of such in writing or via email.  The postage costs for forwarding mail will be assessed to the student’s billing account by the Bursar.

Upon matriculation, students are encouraged to submit change of address or mail forwarding orders with the U.S. Postal Service to avoid delays and additional postage costs.

Intra-campus Mail
To facilitate college business and campus-wide communication, an intra-campus/non-stamped mail service is provided for faculty, staff and students.

• The correct name and department of the individual addressee must be clearly written on the outside of the mailing piece.
• When sending information to students please clearly write the name and box number on the outside of the mailing piece.
• Student box numbers, faculty, and staff departments can be found in the Rhodes Directory.
• Confidentiality is the responsibility of the sender, and all mail should be placed in sealed envelopes or stapled.
• Mailing pieces must measure at least 3” x 5”.
• Multiple communications numbering 30 or more will be distributed by the sender, anytime between 8:30 a.m. and 4:00 p.m. Monday - Friday.
• The Mail Center has two drop boxes located next to the Commercial Window that will be used for collecting the Outgoing Mail-Postage Affixed, Faculty/staff Mail, and Student Mail.
• Those organizations or departments that regularly mail multiple communications through intra-campus mail are asked to schedule the distribution of their newsletter or communication pieces with Mail Services.

Note: No money should be placed in the Intra-campus Mail System at any time.

Bulk Mail
To qualify for bulk rates, there must be 200 or more pieces of non-foreign mail, all weighing the same amount. The return address of the college must appear on the front of the mail piece. Each department/mailer is responsible for scheduling bulk mailings with the Marketing and Communications office by filling out a Communications request.

Metered-Bulk Mail
Sealing and metering is a function of Mail Services. The present equipment seals letter-size mail only. Departments are responsible for inserting contents into envelopes. Do not overstuff letter size envelopes. Envelopes containing sheets of paper stapled together must have the paper inserted so that the staple is located in either the upper left or lower left side of the envelope to prevent damage to the campus meter.

If mail requires sealing; be sure not to overlap envelopes. Leave flaps down on all letter mail requiring sealing. Mail already sealed by a department, but requiring metering, must be separated from mail that requires sealing and metering to prevent envelopes from being torn while being processed through the meterhead in the sealing mode.

Permit (non-metered) Mail
All permit mail requires advance planning and coordination with Mail Services. This will assure that money is deposited with the USPS and that proper preparation is achieved.

Package Notification Procedures
Faculty, staff, and departments receiving packages that are too large or heavy for early morning delivery will be notified by phone for pickup arrangements. Students are notified with a package slip that is distributed into their individual mailboxes.

Overnight Package Notification Procedures
Faculty, staff, students, and departments who receive overnight packages/letters will be notified by phone to pick up mail at the Mailroom. This type of mail is considered urgent. It is extremely important that each person is notified immediately on receipt of this class of mail.

Postal Regulations and General Information
Questions concerning postal regulations, design of mailing pieces, or mail preparation should be directed to the Manager of Mail Services at ext. 3239.

This page has been redirected to the Student Handbook Animals on Campus Policy page.

Rhodes has specific guidelines for signs. To request signs for a department, contact the Physical Plant or Purchasing Department to obtain an order form. The Purchasing Department will coordinate all sign purchases. All signs must first be approved by the Director of Physical Plant before being purchased and installed. The College has a master plan for replacement of campus graphics coordinated by the Purchasing Office, upon the advice of the Campus Appearance Committee. No temporary signs or banners are to be placed on the fence surrounding the College property without the approval of the Vice President for Finance and Business Affairs.

The Physical Plant is part of the Administrative Services Division and is comprised of five departments:

• Building Maintenance (carpentry, painting, and keys)
• Engineering (heating, air conditioning, electrical, and plumbing)
• Grounds/Landscaping
• Housekeeping
• Special Services (setups, furniture moves)
• Administrative (recycling, vending, washer/dryer repair)

The goal of the Physical Plant Department is to provide a clean, comfortable, and safe environment for students, faculty, and staff.

Work Orders
Maintenance and special event requests are scheduled through two different methods.

For maintenance requests, from the Rhodes Express homepage, select “Work Order Reporting” from the Quick Links and follow the directions on the screen. In case of an emergency, do NOT send a work order! Instead, call the Physical Plant at 843-3870 during regular business hours (M-F 8am-4:30pm), or Campus Safety at 843-3880 for after-hours emergencies. Some examples of an emergency are a gas or burning odor, an overflowing toilet, or a power outage. Some examples of non-emergency situations are a burned-out light bulb, a slow-draining sink, or a pest problem.

Set-up requests for special events that require the moving of furniture or rental equipment should be made through the Events Management System.

Be as specific as possible when describing the required set-up. Set-up requests must be received five working days prior to the requested date of completion.

The Campus Safety Office is structured within the Rhodes’ Division of Student Affairs, putting Campus Safety in close contact with all aspects of student life.

The primary mission of the Campus Safety Department is to preserve the safety and security of the campus community to enable the mission of the College to go forward. This mission includes comprehensive efforts aimed at protecting our community from threats to both person and property. Although the Campus Safety staff is considered a private security and safety force, they are responsible for enforcement of all State and local laws, College policies and procedures, security, safety, and emergency responses. As a “first responder” Campus Safety stands ready and well trained to provide support services to meet the many and varied needs of the Rhodes Community.

Due to the importance of Campus Safety, students are advised that it is a specific offense of the student code of conduct to fail to comply with the directions of a College official including those of Campus Safety or to fail to identify oneself to a College official including those officers in Campus Safety.

Rhodes provides planning to minimize danger to life, health, and property from emergencies or other critical incidents should they arise. Included in planning are necessary and prudent steps to assure continuity of operations and restoration of academic and other activities as quickly as possible following an emergency.

The foundation for such planning is based on the following priorities:

• Protection of human life;
• To prevent and minimize personal injury;
• Reduce exposure of Rhodes′ physical assets;
• Optimize loss control for assets where exposure cannot be reduced;
• Restore normal operations as soon as possible.

With these priorities as a foundation, the plan facilitates a quick and efficient move from normal to emergency operations and back.

Rhodes has always welcomed guests and visitors to the campus. However, we also recognize that there are certain identification, safety and security problems attendant with this practice. Therefore, it is essential that guidelines be established to insure the well being of the College community. While it is impossible to cover every variable, the following general policies apply with respect to visitors to the campus.

Visitors to the campus are generally prospective students and parents, alumni, and those who have business with academic or administrative departments. Once the identity and purpose of these persons are confirmed they should always be made to feel welcome and accorded the same amenities that faculty, staff and students are allowed.

Guests of students are welcome on campus. Guests staying with a student overnight along with their host-student must register with Campus Safety in person. Guests are expected to remain under the auspices of the host student and the host student bears the responsibility for the guest′s behavior and compliance with campus policy. Rhodes accessible keys should never be loaned to guests. Guests are not allowed during exams. When it appears that guests have been completely abandoned by a host, they will be asked to leave the campus. Host responsibilities for a guest should not be transferred from one student to another.

Visitors arriving at a Welcome Center to see a student, faculty member or staff person, will be detained until the host can be located by the officer by phone. If the host cannot be located, the visit will not be allowed. If the host is located, he/she must authorize the visit before entry is allowed. Students expecting a visitor, who is not staying overnight, may call the Campus Safety Welcome Centers (Bailey - #3894; Phillips - #3883) and advise the officer on duty whom to expect, the time of arrival, and the name of the host. If this is done, the visit is allowed regardless of phone confirmation of visit. If you′re unable to connect to a Welcome Center, you may call the Campus Safety Control Center at #3880.

Rhodes College Commitment to Diversity

A diverse learning community is a necessary element of a liberal arts education, for self-understanding is dependent upon the understanding of others. We, the members of Rhodes College, are committed to fostering a community in which diversity is valued and welcomed. To that end, Rhodes College does not discriminate – and will not tolerate harassment – on the basis of race, gender, color, age, religion, disability, sexual orientation, gender identity or expression, genetic information, national or ethnic origin, military status or any other protected status.

We are committed to providing an open learning environment. Freedom of thought, a civil exchange of ideas, and an appreciation of diverse perspectives are fundamental characteristics of a community that is committed to critical inquiry. To promote such an academic and social environment we expect integrity and honesty in our relationships with each other and openness to learning about and experiencing cultural diversity. We believe that these qualities are crucial to fostering social and intellectual maturity and personal growth.

Intellectual maturity also requires individual struggle with unfamiliar ideas. We recognize that our views and convictions will be challenged, and we expect this challenge to take place in a climate of open-mindedness and mutual respect.

Please refer to the Communications Office section of our website for additional information regarding communication services and guidelines.

The mission of academic advising at Rhodes is to promote student learning. As academic advisers, faculty members are both teachers and mentors to students, assisting students in understanding the nature of a liberal arts education, in assessing their strengths and weaknesses, in formulating their educational and career goals, and in planning a course of action to achieve these goals. Academic advisers are expected to be knowledgeable about the general academic program of the College so that they are able to advise all students. Advisers approve student course schedules, monitor progress towards completion of degree (and major, once declared) requirements, counsel students on academic probation, intervene with students in academic difficulty, and assist in preparing for the declaration of major. In addition, academic advisers may be called on for personal counseling or to make referrals for personal counseling. Increasingly, academic advisers are also expected to provide initial career and vocational counseling.

However, the person who bears ultimate responsibility for meeting all graduation requirements and choosing courses that will meet the student′s goals is the individual student. Therefore, a large part of the work of the faculty adviser is to develop and to cultivate in the student advisee responsibility for academic planning, careful judgment, timely decision making, and personal follow through on plans. The academic adviser′s role is to facilitate the student′s attainment of the goals set by the student; the academic adviser cannot and should not make the most important choices for the student.

The academic advising system has two components: 1) a first-year and sophomore component and 2) a departmental majors component.

Each year the Committee on Academic Advising invites eligible faculty members and administrators to be the advising group for the entering class. This group of advisers continues to serve those students until they formally declare their majors. This must be done prior to the registration period of the spring semester of the sophomore year.

The assignment of majors to faculty members is at the discretion of the departmental chair. Advising within this component of the system continues until the students graduate.

An advising group totaling 14-20 students is considered normal; however, because of large numbers of students interested in certain departments, this norm is occasionally exceeded.

Academic adviser workshops are conducted annually to help make the advising responsibility clear and the system more efficient. The College Catalogue and the adviser′s handbook contain helpful information on the academic program and institutional policy affecting the student′s instructional program.

Advising is the most important part of the service component of a faculty member′s duties, and all faculty are expected to serve as an academic adviser to a group of students. This includes regular advising of first-year students—whether annually or bi-annually—as well as advising of students in a department’s major, minor, and interdisciplinary programs. Any variance from this duty must be reviewed and approved by the academic advising committee. Section VIII in this document indicates the role of effective advising in the overall evaluation of the performance of a member of the Faculty.

Rhodes, as a residential college of the liberal arts and sciences, considers interactive engagement with other students and the professor, in a structured setting, to be one of the essential and central components of the academic program. Students enrolled at the institution make a commitment to participate fully in their education, which includes attending class.

• Monday-Wednesday-Friday classes meet for a total of 42 times in a semester;
• Tuesday-Thursday classes meet for a total of 28 times in a semester.

Missing three (3) MWF classes, or two (2) TuTh classes, is equivalent to one week’s work out of the fourteen weeks of the semester; this is a significant amount of time. Absenteeism is not to be taken lightly.

Specific attendance policies are set by individual instructors, who state them in the course syllabus and during the first class session. Faculty should be mindful in setting attendance policies that college-sanctioned activities may require participating students to be off campus and consequently miss class. Additionally, some religious observances may cause participating students to miss class. Faculty are discouraged from penalizing students solely for such absence and should normally, at their discretion, accommodate such a student in, e.g., an alternate date for a test. It is, however, the student’s responsibility in undertaking college-sanctioned activities (e.g., varsity athletics, internships, and off-campus competitions connected with courses) to understand that their participation may come at the cost of absences from other courses or even forfeiting credit on certain assignments when making them up is not feasible.

Students are responsible for knowing the attendance policy in each of their courses, for obtaining and mastering material covered during an absence, and for determining, in consultation with the instructor, whether and under what conditions make-up work will be permitted. It is the student’s responsibility to address the issues related to missing a class whatever the reason for the absence. If, in accordance with the course policies, the instructor determines that excessive absences are jeopardizing a student’s ability to obtain a passing grade in the course, the instructor may make written request to the Office of Academic Affairs that the student be removed from the course with a grade of F. If a student is removed from two or more courses in the same semester for this reason, the student may be asked to withdraw from the College.

Class rolls listing all students who are registered for each course are made available to officers of instruction by the Registrar on the first day of classes of each semester. These rolls are available on Web for Faculty via BannerWeb. These rolls are updated daily during the Drop/Add and Extended Drop periods. These rolls can be of help both to students and the Registrar in cases where registration status is uncertain. No student will be officially added or dropped from a class without completing a drop or add form and filing it with the Registrar’s Office. Any student attending a course whose name is not on the most recent class roll should not be allowed to continue in the course until and unless the appropriate add process is completed and the student’s name has been added to the class roll by the Registrar.

All faculty members are asked to verify the accuracy of all class rolls during the fourth week of each semester. After this time, there should be no further additions or corrections to the class roll. Changes may occur, however, since students may withdraw from a course after this roll is verified. These students will continue to appear on the class roll, however, with a “WP” or “WF” grade designation denoting “withdrawn passing” or “withdrawn failing.”

Each winter, department chairs in consultation with department members generate a schedule of classes to be taught in their department for the next academic year. These course schedules are then submitted to the Registrar and then to the Office of Academic Affairs. The schedule is updated prior to the registration for each semester.

After a semester starts, officers of instruction may vary from the official class schedule with respect to class meeting days and/or times, but such variation must be done with the approval of the department chair and the knowledge of the Registrar.

Classroom assignments are made by the Registrar in consultation with the department chair. Assignment of “smart classrooms,” those with special technical and electronic equipment, is made only upon written request of the Registrar because of the high demand for those rooms. Some departments have priority for certain classrooms (e.g.,natural science courses in Frazier-Jelke, psychology courses on the first floor of Clough Hall). Rooms which appear to be vacant at the beginning of a semester may have been left so purposely to accommodate discussion groups or other arrangements later in the semester. Classroom changes may not be made without the Registrar’s approval.

Faculty members should ensure that classroom activities do not extend beyond the assigned class period. To do so is unfair both to professors and the students who expect to use that classroom or who may have a class in the next class period. Any exceptions such as for learning disabilities or language difficulties should also avoid interference with other classes. Faculty members must confirm documented learning disabilities and approved accommodations with the Coordinator of Disability Services for Students before granting any accommodations.

Faculty members must prepare and distribute to their students syllabi for all courses within the first week of the semester. Syllabi vary enormously across disciplines and from individual to individual. These should be documents that faculty prepare very carefully since they serve as the primary resource for adjudicating disputes regarding the course’s policies, expectations, and the responsibilities of both student and instructor. At a minimum a course syllabus must include information on course texts and other required reading materials; course objectives; required assignments; testing policies; grading policies; specific attendance expectations and the consequences for absences; expectations regarding the Honor System; and contact information and office hours of the instructor. Where possible, dates for tests and other assignments should be provided, along with consequences for missed work. It is also advisable to include in the syllabus policies regarding absences due to college-sanctioned activities; procedures for accommodating conflicts with required class meetings outside the regularly scheduled class time (e.g., film viewings, field trips, etc.); accommodating approved disabilities; and statements regarding plagiarism, group work, and other potential violations of student integrity. The syllabus for each course should be archived by the Department as the permanent record required for the College’s accreditation. 

Department chairs are appointed for a three-year term by the Vice President for Academic Affairs, who confers with the President. At the end of the three-year appointment, another three-year term appointment may be made by the Vice President for Academic Affairs. A stipend accompanies the assignment as department chair, adjusted based on size of the department and extent of responsibility for the chair. Occasionally release time from teaching is granted.

Section VII and Section VIII of the "Statement of Policies and Procedures in Regard to Faculty" discuss special concerns that apply to the meeting of responsibilities at the College, including service obligations such as being a department chair.

Directed Inquiries. The term directed inquiry indicates a type of independent study designed to give more individuality than is provided by regular coursework. A directed inquiry is a project agreed upon by a student and professor; it may be a laboratory experiment, special readings on a given topic, some type of art work, a group of essays, etc. The details of the project are agreed upon by the student and the professor. Directed inquiries may not be used to satisfy general degree requirements.

Credits for a directed inquiry range from one to four. Forty-six hours of work, including outside reading, experiments and conferences, are required for one credit. No more than twelve credits may be earned in any one department. The maximum number of credits for all directed inquiries allowed is twenty-four. Normally a first-year student may not undertake a directed inquiry until after the completion of one semester of regular studies. Special students are generally not eligible for directed inquiries.

Proposals for directed inquiries must be submitted for approval to the chair of the department. Appropriate forms are available online. These forms call for details such as the beginning and ending dates of the project and set forth specific rules governing such things as extensions or other possible considerations. The student should become familiar with this form well in advance of the date intended to submit a proposal so that everything will be in order and approved by the department when submitted. Applications for directed inquiries are to be submitted in time for the department to act and submitted to the Registrar before the date set for the project to begin. Normally a student will not be permitted to take more than one directed inquiry at a time.

In the event that more than two students are interested in a directed inquiry on the same topic, a special topics course may be taught. Such courses must conform to the standard forty-six hours of study per credit.

The Tutorial Plan. The tutorial plan of instruction, like the Honors Program and the Directed Inquiry, has as its chief purposes the individualizing of instruction and the provision of a means whereby students may go beyond the scope of a class course, both in the amount of work done and the kinds of interests pursued. The method is often that of extensive reading under guidance, and conferences with the tutor on the material read, either individually or in a small group.

The content of a tutorial is usually that of a regular catalogue course that is not scheduled to be taught during a particular term. A student may request that the course be taught in the tutorial fashion if a member of the faculty is available and agrees to direct the course. Approval by the faculty member, the chairperson of the department involved, and the Registrar is necessary for the tutorial to be scheduled. At a minimum, forty-six hours of study are required for each credit or a total of 184 hours of study for a four credit course.

The Honor Code represents what the students, the faculty, and the administration believe to be the best environment for the pursuit of the College’s educational aims. All tests and examinations are conducted in accordance with the provisions of the Honor Code, and students are asked to indicate on their tests and final examinations that they have abided by the principles contained in the Honor Code. Students “pledge” that they have completed academic work in accordance with these principles, and faculty are expected to ask for this pledge before accepting academic work from students.

Normally every course for which credit is given has a final examination as a component. Final examinations are intended to assess students’ mastery of the subject matter of the course and are normally comprehensive in scope. The Foundations Curriculum Committee expects, in reviewing course proposals prior to approval, that the provisions of the final assessment of student performance are made explicit.

Final examinations are given during the examination week according to the published schedule. A professor may offer optional examination times for an entire class within the examination period, except for a Reading Day. Each member of the class must choose one of the optional times at least one week before the first day of examinations. The feasibility of implementing this option is left to the professor’s discretion.

No examination, including examinations at optional times, may be scheduled on a Reading Day. A student with three examinations in a row (not to include reading days) may petition the Office of Academic Affairs to reschedule no more than two examinations later in the examination period. Other changes because of extenuating circumstances (e.g., illness, religious observance) also must be approved by the professor and the Office of Academic Affairs.

In some courses the purposes of a final examination are best served by special testing, for example take-home examinations, departmentally administered oral examinations, or special projects and assignments. Whatever the testing method, the important factor is that students are asked to synthesize major concepts, approaches, and facts for the course, and to demonstrate that they can do this on their own. If a professor wishes to give an in-class final examination outside the dates and times of the published examination schedule then this request, along with the approval of the chair of the department, must be made in writing to the Office of Academic Affairs.

A student who has a failing average on course work should be counseled before the final examination about the status of his or her work and about the role the final examination will play in determining the final grade, but the student may not be excluded from taking the final examination. A student who has a passing average on course work and who fails the final examination and as a result has a failing average for the course, may at the discretion of the professor be given an E grade and be permitted to take a reexamination. The highest grade in the course that can be given upon reexamination is D+.

A student who has a passing average on course work and who fails the final examination, but who earns a passing final grade, may be given the appropriate letter grade for the course. Unexcused absence from a final examination automatically results in failure in the course. A student who is prevented by illness or other reason from taking the final examination at the scheduled time must present a written excuse or doctor’s certificate and will be given a grade of X. In some courses, due to the lesser weight given to the final examination in determining the final grade for the course, a professor may not wish to give the grade of F for an unexcused absence or the grade of X in the event of an excused absence. The professor’s policy on this matter should be made clear at the beginning of the course so that there is no misunderstanding and so that it is clear that this situation is an exception to the general College policy.

Final examinations should be available for review by students and may be returned to students at the discretion of the professor. Professors should maintain copies of final examination questions for a period of one year, and if a professor keeps copies of the actual examinations they should be maintained for at least one academic year after the administration of the examination.

Rhodes encourages faculty to seek out externally funded grants and contracts in support of research interests and in support of the academic program. The statement concerning Academic Freedom and Responsibility, in the "Statement of Policies and Procedures in Regard to Faculty" Section VI of the College Handbook, applies to all research undertaken with sponsorship from external sources.

Any formal arrangement for consulting work during the regular academic year must be submitted for review and approval by the Vice President for Academic Affairs in advance of an agreement to provide the services. If this work requires use of College resources and equipment, appropriate reimbursements must be made by the faculty member. This reimbursement includes a charge for the use of the College computing system.

The Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Final Rule, 2 CFR 200, December 26, 2014 (“Uniform Guidance”), sets forth standards for obtaining consistency and uniformity in organizations expending Federal awards. The Federal government requires an effort report when an individual is compensated by, or has agreed to contribute time to, a federally-sponsored project. All faculty who serve as investigators on sponsored projects are personally responsible to certify the amount of effort that they and their employees spend on sponsored activities.

The purpose of this policy is to define effort reporting, as well as identify those individuals who must comply.

Definitions

"Effort" is defined as the amount of time spent on a particular activity.  It includes the time spent working on a sponsored project in which salary is directly charged or contributed (cost-shared effort).  Individual effort is expressed as a percentage of the total amount of time spent on work-related activities—instruction, research (including externally-funded research), service, and administration—for which Rhodes College compensates an individual.

“Effort Reporting” is the mandated method of certifying to the granting agencies that the effort charged or cost-shared to each award has actually been completed.

Policy

In accordance with Uniform Guidance, Rhodes College requires effort reports for all faculty and staff who work on sponsored projects that are federally-funded, regardless of whether the effort is paid or unpaid. Rhodes uses after-the-fact certification. Faculty and staff submit time and effort reports annually in August to the Finance Office. Non-exempt employees who complete auditable timecards are not subject to effort reporting procedures. Effort reports must comply with Uniform Guidance Standards for Documentation of Personnel Expenses as follows:

1. Charges to Federal awards for salaries and wages must be based on records that accurately reflect the work performed. These records must:

• Be supported by a system of internal control which provides reasonable assurance that the charges are accurate, allowable, and properly allocated.
• Be incorporated into the official records of the non-Federal entity.
• Reasonably reflect the total activity for which the employee is compensated by the non-Federal entity
• Comply with the established accounting policies and practices of the non-Federal entity.
• Support the distribution of the employee's salary or wages among specific activities or cost objectives.

Note: budget estimates alone do not qualify as support for charges to Federal awards.

2. Because practices vary as to the activity constituting a full workload, records may reflect categories of activities expressed as a percentage distribution of total activities.
3. Salaries and wages of employees used in meeting cost sharing or matching requirements on Federal awards must be supported in the same manner as salaries and wages claimed for reimbursement from Federal awards.
4. It is recognized that teaching, research, service, and administration are often inextricably intermingled in an academic setting. When recording salaries and wages charged to Federal awards, a precise assessment of factors that contribute to costs is therefore not always feasible, nor is it expected.

All grant applications initiated by or for the benefit of faculty must, prior to submission, be approved by the Vice President for Academic Affairs, the Vice President for Finance and Business Affairs, and the Vice President for Development. Grant applications or proposals submitted for approval must be accompanied by an External Grant Approval Checklist Form. This form may be obtained from the “Grants” folder located in the Fac/Staff Public Information folder: https://rhodes.app.box.com/folder/63590497265. This form will delineate the approval process for the grant initiator and a copy should accompany the grant at each step to expedite the review. Any grant requesting funds for purchase of computer equipment must be reviewed by the Director of Information Technology Services. 

Rhodes’s federally approved rate for indirect costs is 47% of all salaries and wages, including student wages. In drafting grant proposals, departments should budget 47% of salaries and wages, excluding benefits, for indirect costs. Grant proposals with salaries should also include a budget for fringe benefits at the approved rate of 28% for faculty/staff salaries and 8% for student wages.

1. Indirect Cost Policy for Grants not directly related to a specific faculty member’s research (College or Programmatic Grants)

It is the policy of Rhodes College to retain 100 percent of indirect costs to cover research-related overhead expenses incurred by the College

Indirect Cost Account: All of the indirect costs on each externally-funded grant will be deposited in a non-restricted account to be used for professional development by the Office of Academic Affairs. Some examples of how this account can be used would include: seed money for faculty conducting pilot research in anticipation of applying for external support; interim support to faculty and grants staff to cover travel costs associated with compliance workshops, or for matching or institutional cost-sharing obligations.

2. Indirect Cost Policy for Faculty Research Grants

In support of research activities, the College may allocate up to 50% of indirect cost recovery funds received from a successful grant application to the department of the principal investigator, subject to the approval of the Vice President of Academic Affairs. Questions concerning budgeting or indirect cost recovery should be directed to the Finance Office.

The grant or contract must provide sufficient financial provisions to purchase the equipment, supplies, and research assistance necessary for the project. The annual budget of the Office of Academic Affairs may not be used to meet such expenses unless agreed to by the Office of Academic Affairs. Equipment and supplies purchased by funds in the grant or contract are considered property of the College. Subject to negotiation and approval the faculty member and the College may agree to the purchase and/or transfer of research-related equipment should the faculty member not continue at Rhodes.

Faculty members who wish to seek course releases during the academic year of a grant may request funding for no more than one course release per academic year that the grant support covers. Any exception to this limit must be approved by the Office of Academic Affairs before the grant application is submitted. The reimbursement rate for a course release is 10% of salary or $7,500, whichever is higher, plus fringe benefits.

All compensation from grants, whether as a principal investigator at Rhodes or as a subgrantee with another institution, must be approved in advance by the Vice President of Academic Affairs. The Office of Academic Affairs will establish the level of compensation, release time for any participants (if any), and will have final approval over all research and staffing participation for all grants. The regular and scheduled academic needs of the College will be the primary consideration in determining a faculty member’s participation in a grant activity. During the summer months or while on sabbatical, monthly grant compensation in excess of 1/9 of the faculty member’s annual salary must be approved by the Vice President of Academic Affairs and Vice President for Finance and Business Affairs. All College Human Resources policies and practices for compensation and fringe benefits will be followed. Compensation from grants, regardless of the funding source, will be issued on payroll checks. Federal Income Taxes and F.I.C.A. taxes will be withheld on all grant checks, as required by the Internal Revenue Service.

Upon award of a grant or a contract, the management and investing of funds and disbursement of payments will be controlled by the Finance Office. It is the responsibility of the principal investigator to make sure that all progress reports, budget reports, fund requests, and budget reports are submitted on a timely basis as defined within the grant. Copies of each report submitted to the granting agency should be forwarded to the Comptroller in the Finance Office, the Vice President of Academic Affairs, and the Grants and Foundations Manager in Development. Annual reports accounting for the disbursement of funds will be reviewed by the Office of Academic Affairs.

All grant proposals that require College matching funds must have the approval of the Vice President of Academic Affairs and the Vice President for Finance and Business Affairs before submission to the granting agency or organization.

When a grant proposal requires matching gifts to be raised by the College, the initiator must send the final draft of the proposal along with a list of prospects for the matching funds to the Vice President for Development, the Vice President for Academic Affairs,and the Vice President for Finance and Business Affairs for initial approval, and then to the President for final approval.

A Rhodes College faculty member in the course of pursuing research and scholarship supported by funds from beyond the college or in the process of seeking such funding may be the subject of allegations of misconduct. This alleged misconduct may either involve violation of generally accepted standards of conduct of scientific research or violation of specific policies of the granting agency.

In either case the allegations will be investigated by a panel consisting of the chairs of the departments of Biology, Chemistry, Mathematics/Computer Science, Physics, and Psychology. If one of the chairs has a close relationship to the work in question, that person will be expected to recuse himself or herself and the remaining members of the panel will select a faculty replacement from the affected department.

The panel will present its findings to the Vice President of Academic Affairs and will recommend appropriate courses of action. Options include one or more of the following:

1. No further action;
2. Administrative action to protect federal funds and to insure that the purposes of the federal financial support are being carried out;
3. Appropriate disciplinary action toward the faculty member involved;
4. Notification of the Office of Scientific Integrity of the NIH of any reasonable indication of possible criminal violation or of any circumstances that might affect current or future NIH funding of the subject.

All investigations, whether ending in a finding or wrongdoing or not, will be reported to the Office of Scientific Integrity. This report will thoroughly document the investigative process, the panel’s findings, and the actions taken. In every case these procedures will be carried out in such a way as to protect the reputation of those against whom allegations are brought which are found to be groundless, and of those who may in good faith bring allegations, regardless of their final disposition.

Copies of all funded grant proposals must also be sent to the Director of Communications.

During the regular academic year the primary responsibility of a faculty member is teaching and the professional development activities necessary to maintain a timely and informed knowledge of the teaching area. Any released time from teaching responsibilities necessary to pursue research must be agreed to in writing by the Vice President of Academic Affairs in advance of the submission of the grant or contract request. The faculty member, the chair of the department, and the Vice President of Academic Affairs will determine the amount of released time, the duration of the period of released time, and the implications for staffing in the department. A research grant or contract that runs concurrent with the regular academic year must include sufficient financial provisions to provide released time for the researcher. The standard course load for a teacher is five four-credit hour courses; the released time should be provided for by a pro-rata share of the researcher’s current salary plus the standard 34 percent for fringe benefits. These funds will be used to hire a replacement instructor for the duration of the grant or contract. The fringe benefit rate for student stipends is 8 percent. Research requiring the total time of a faculty member will necessitate a leave of absence without pay. This leave of absence must be requested at least six months in advance of the beginning of the research period. The College will hire a replacement instructor for the duration of the leave of absence.

Faculty governance rests on the assumption that faculty should hold a substantive role in decision-making in several identified areas in the life of the institution.

At Rhodes, we wish to ensure that the work of the faculty is completed effectively and in an environment where shared decision-making is valued. To this end, we affirm that:

1. A shared commitment to the mission of the College informs all decision-making and structures of governance. Governance is informed by maximum collaboration and consultation, respectful and reasoned discussion, trust between administration and faculty, and consistent communication.
2. Governance occurs in multiple venues, must be flexible to accommodate emerging institutional challenges and opportunities, and is accomplished in an institutional culture that balances stability and innovation.

• Areas of responsibility and the roles of everyone involved in governance must be unambiguous. 
•  Structures of governance must be as simple and straightforward as possible and respect the time commitment of all involved.
• Those who participate in the work of governance, either elected or appointed, agree to be held accountable for their work.
• All participation by members of the Faculty in the work of governance is reckoned as service to the College. Normally, faculty members in the first three years of their appointment serve the College through academic advising and service to their department. Beginning in the fourth year of appointment, faculty may serve the College in an additional way through membership on standing committees or task forces. 

Effective Faculty governance depends on a clear delineation of roles and responsibilities. At Rhodes, the work of governance occurs in three areas. These three areas are delineated here, in Section II. Structures of Faculty Governance are outlined in Section III. 

Rhodes College engages in shared governance. Cross-campus ad hoc groups convened by the President and other senior leaders are also a regular practice on our campus. These committees or task forces typically include faculty, students, staff, and administrators.

1. An area where Faculty has clear expertise and decision-making responsibility. This area includes:

• The development and maintenance of the academic program including its content, the academic standards to be met for matriculation and graduation, and the ongoing assessment of the quality of the academic program. The academic program includes the foundations curriculum, majors, minors, certificates, and requirements for awarding of degrees, as well as departments and programs. 
• The standards for tenure and promotion that lead to a recommendation to the administration and the Board of Trustees as to whether a faculty member should be granted tenure and/or promoted and the process by which tenure and promotion decisions can be appealed.
• The oversight of structures of faculty governance.
• The oversight of faculty professional interests that lead to recommendations to the administration and Board of Trustees on issues related to the welfare of the Faculty as a whole.
• The oversight of policy and procedures for faculty development resources including the review of requests and recommendations to the Vice President for Academic Affairs for faculty development grants and sabbaticals.

2. An area where the Faculty share expertise and decision-making responsibility with the administration. This area includes:

• The standards for evaluating teaching, research and service;
• The process by which outstanding students compete for post-graduate scholarships;
• The oversight of academic advising;
• The process to prepare students for successful membership in a community of scholars through an integral and interconnected first-year experience;
• The management of information and resources in technology;
• The policies and procedures to meet admissions and retention goals;
• The policies and procedures related to international education and study abroad;
• The process by which new faculty and administration are recruited and hired;
• Student appeals;
• The process for advancing inclusion, diversity, equity, and accessibility on campus.
• The process for advancing strategic campus-wide goals (e.g., sustainability, expressive speech, local and global engagement).

3. An area where the Faculty serve in a consultative or advisory role but where primary expertise and decision-making responsibility remain with the administration and/or Board of Trustees. This area includes:

• Faculty-related personnel policies;
• Budget; 
• Long range and strategic planning; 
• Major changes in academic direction, including modifications to the status of existing departments and programs. 
• Athletics; 
• Campus Health and Safety;
• Liaison with administrative units (further specified in Section III);
• Faculty and staff awards.

Substantive Change Policy and Procedure 
Rhodes College

Approved by the President and the Executive Staff on 7.18.2022.

Rhodes College is accredited by the Southern Association of Colleges and Schools – Commission on Colleges (SACS COC) and all potential substantive changes – whether proposed by students, faculty, staff, or Board of Trustees – must be discussed with and reviewed by the SACS COC Accreditation Liaison, who is appointed by the Rhodes College President. It is the responsibility of the SACS COC Accreditation Liaison to ensure that potential substantive changes are reported to, and approved by the SACS COC, prior to implementation.

The purpose of this Policy and Procedures document is to comply with the Substantive Change for Accredited Institutions of the Commission on Colleges, Policy Statement, Institutional Obligations, Item #2, that “Member institutions are required to have a policy and procedure to ensure that all substantive changes are reported to the Commission in a timely fashion” (p. 1).

Compliance

Substantive changes, including those required by federal regulations, include:

• Substantially changing the established mission or objectives of an institution or its programs.
• Changing the legal status, form of control, or ownership of an institution.
• Changing the governance of an institution.
• Merging / consolidating two or more institutions or entities.
• Acquiring another institution or any program or location of another institution.
• Relocating an institution or an off-campus instructional site of an institution (including a branch campus).
• Offering courses or programs at a higher or lower degree level than currently authorized.
• Adding graduate programs at an institution previously offering only undergraduate programs (including degrees, diplomas, certificates, and other for-credit credential).
• Changing the way an institution measures student progress, whether in clock hours or credit-hours; semesters, trimesters, or quarters; or time-based or non–time-based methods or measures.
• Adding a program that is a significant departure from the existing programs, or method of delivery, from those offered when the institution was last evaluated.
• Initiating programs by distance education or correspondence courses.
• Adding an additional method of delivery to a currently offered program.
• Entering into a cooperative academic arrangement.
• Entering into a written arrangement under 34 C.F.R. § 668.5 under which an institution or organization not certified to participate in the title IV Higher Education Act (HEA) programs offers less than 25% (notification) or 25-50% (approval) of one or more of the accredited institution's educational programs.  An agreement offering more than 50% of one or more of an institution’s programs is prohibited by federal regulation.
• Substantially increase or decreasing the number of clock hours or credit hours awarded or competencies demonstrated, or an increase in the level of credential awarded, for successful completion of one or more programs.
• Adding competency-based education programs.
• Adding each competency-based education program by direct assessment.
• Adding programs with completion pathways that recognize and accommodate a student’s prior or existing knowledge or competency.
• Awarding dual or joint academic awards.
• Re-opening a previously closed program or off-campus instructional site.
• Adding a new off-campus instructional site/additional location including a branch campus.
• Adding a permanent location at a site at which an institution is conducting a teach-out program for students of another institution that has ceased operating before all students have completed their program of study.
• Closing an institution, a program, a method of delivery, an off-campus instructional site, or a program at an off-campus instructional site.

Other substantive change requirements, including those required by federal regulations, include:

• An institution is required to notify or secure SACSCOC approval prior to implementing a substantive change.
• An institution is responsible for maintaining compliance at all times with Standard 14.2 (Substantive change) of the Principles of Accreditation and with the Substantive Change Policy and Procedures and related policies, viz.,
  • Advertising and Student Recruitment [PDF];
  • Agreements Involving Joint and Dual Academic Awards [PDF];
  • Credit Hours [PDF];
  • Direct Assessment Competency-based Educational Programs [PDF];
  • Distance and Correspondence Education [PDF];
  • Dual Enrollment [PDF];
  • Merger/Consolidation, Acquisition, Change of Ownership, and Change of Governance, Control, Form, or Legal Status [PDF]; and
  • Seeking Accreditation at a Higher or Lower Degree Level [PDF].
• An institution is required to have a written substantive change policy and procedure. It must be approved through institutional processes and published in institutional documents accessible to those affected. The purpose of the institution’s substantive change policy and procedure is to ensure all substantive changes are reported to SACSCOC in a timely fashion as required by Substantive Change Policy and Procedures. Institutions are responsible for implementing and enforcing their substantive change policy and procedure.

Procedures

General Requirements: General requirements universally apply to most or all types of substantive change. They address obligations and processes by an institution and by SACSCOC. Specific requirements are addressed by substantive change type, organized by institutional changes, off-campus instructional site / additional location changes, and program changes.

Submission deadlines: Substantive change prospectus, application, and notification submission deadlines depend on (1) the type of SACSCOC Board of Trustees review, if required (see also the Board review pathways explained below), and (2) the intended implementation date of the substantive change.

For a substantive change requiring approval by the full Board of Trustees (which meets biannually), to be implemented after the date of the Board meeting, the submission deadlines are

• March 15 for review at the Board’s biannual meeting in June of the same calendar year, and
• September 1 for review at the Board’s biannual meeting in December of the same calendar year.

For a substantive change requiring approval by the Executive Council of the Board of
Trustees (which meets year-round), the submission deadlines are

• January 1 for changes to be implemented July 1 through December 31 of the same calendar year, and
• July 1 for changes to be implemented January 1 through June 30 of the subsequent calendar year.

For a substantive change requiring notification only, it can be submitted any time before implementation. Once the institution has submitted notification, it may implement before receiving a response from SACSCOC. If there are deficiencies or additional information needed about the notification, the institutional liaison will be contacted at the time of review for resolution and before action is taken. This applies to notifications only, not to approvals: changes requiring approval cannot be implemented until approved by the SACSCOC Board of Trustees.

For a substantive change to close a program, site, program at a site, or method of delivery, a teach-out plan should be submitted as soon as possible after the decision is made to close (i.e., stop admitting students).

Identifying and reporting substantive change:
The President is responsible for:

• Submitting substantive change notification letters and associated documentation to the President of the SACS COC and providing a copy of the letters and documentation to the Accreditation Liaison

or

• Designating the Accreditation Liaison as his representative to submit substantive change notification letters and associated documentation to the President of the SACS COC

The President and Vice Presidents are responsible for:

• Informing relevant personnel under their supervision about the existence of the SACS COC Policy on Substantive Change and the need to check with the Accreditation Liaison regarding any and all significant changes in policy to determine if they meet the criteria for a substantive change as defined in the policy
• Consulting with the College’s SACS COC Accreditation Liaison regarding questions about substantive changes within their divisions
• Providing sufficient time to notify the SACS COC prior to the implementation of any changes
• Assisting with the writing of appropriate documentation and notification of substantive changes as needed by the SACS COC

The SACS COC Accreditation Liaison is appointed by the President and is responsible for:

• Staying up to date with the SACS COC Substantive Change Policy Statement
• Serving as the contact person and communication liaison between SACS COC staff and the College regarding substantive change matters
• Meeting with the President and Vice Presidents yearly to review the policy and planned initiatives
• Working with the appropriate Vice President to develop a plan of action and timeline for any substantive change actions requiring approval from the SACS COC
• Preparing substantive change prospectus in collaboration with the appropriate administrators and faculty
• Submitting substantive change notification letters and associated documentation to the President of the SACS COC as requested by the President
• Maintaining a database of substantive changes, initiatives, action plans and their status

Faculty governance occurs in multiple venues and through multiple structures. Two factors are critical in the decision as to what kind of governance structure should be in place:

1. In what area (as defined above) is the work of faculty governance occurring?
2. Is the work being undertaken continuing (recurring annually or cyclically) or is it a time-limited task with a clear completion point? 

1. Continuing work of the Faculty
   1. In the case of continuing work in the area where faculty has clear expertise and decision-making responsibility, present structures include:
      • The Faculty of the College
      • The Academic Department
      • Standing Committees of the Faculty
        • Committee on Committees
        • Educational Program
        • Foundations Curriculum Committee
        • Appeals
        • Development
        • Governance
        • Professional Interests
        • Standards and Standings
        • Tenure and Promotion
   2. In the case of continuing work in the area where the Faculty share expertise and decision-making responsibility with the administration, present structures include:
      • Administrative-Faculty Committee
      • Advising Committee
      • Information and Technology
      • Post-Graduate Scholarships
   3. In the case of continuing work in areas where the Faculty serve in a consultative role but where the primary expertise and decision-making responsibility remain with the administration and/or Board of Trustees, present structures include:
      • Council of Academic Chairs
      • Standing Administrative Committees
        • Budget
        • Faculty-related employment issues
        • Campus Safety
        • Athletics
        • Special Events and Programming
        • Policy Boards (i.e., Sexual Harassment and Assault)
        • Rhodes Planning Cooperative
      • Faculty Liaison appointments to advise specific administrative units (i.e., Board of Trustees, President’s Office, Student Support Services, Student Affairs, Meeman Center for Life Long Learning, Administrative Affairs, Career Services, Disability Services, etc.) 
2. Time-limited tasks of the Faculty with a clear completion point
   • Task Forces of the Faculty to address time-limited tasks related to any area above
   • Faculty liaison appointments to advise on specific issues
   • Personnel Search Committees (administration and faculty)

Faculty committees derive their powers and responsibilities from the Faculty. Committees in general take routine actions without specific faculty approval but with notice to the Faculty through committee minutes. In all more important matters, committees bring recommendations to the Faculty, and a majority of the voting members of every standing committee of the Faculty will be full-time-teaching faculty members. Ex officio members are without vote unless otherwise indicated. Student members are voting members. The standing committees of the Faculty transact most of the business of the Faculty in their specific areas of concern and responsibility. Each faculty committee has four general tasks within its sphere of responsibility:  

1. Faculty committees serve to keep the academic program under continuing scrutiny, minimizing weaknesses and encouraging improvements, by functioning as a forum for ideas and by investigating academic policy.
2. Faculty committees recommend policy to the Faculty by guiding the Faculty through carefully formulated proposals. The Faculty then enacts or rejects that policy.
3. Once the Faculty has approved a policy, faculty committees see that the policy is properly administered, that exceptions are mediated, and that details are tended to. Committees are empowered and encouraged to delegate administrative authority within their bodies so long as the committee retains supervisory and review authority.
4. With the exception of the Tenure and Promotion Committee and the Appeals Committee, each Faculty committee must inform the Faculty of its actions, normally through reports made at faculty meetings. The exceptions for the two stated committees are in regard to confidential matters only; those committees must report to the Faculty regarding other (non-confidential) committee actions.

All standing committees function under the general oversight of the Faculty Governance Committee. Except for at-large members, all committee members are nominated and elected by their division within the faculty. Probationary members of the Faculty are not normally expected to serve on standing committees until after their third year of full-time service. Elections for all at-large members of all faculty standing committees and Faculty Trustees are normally held at the April meeting of the Faculty. Faculty Governance Committee divisional representatives will call divisional elections, and they should be held prior to the April meeting of the Faculty.

Each committee has a Chair and a secretary. The full-time faculty members of each faculty committee for the next Academic Year will meet shortly after the May elections to elect a committee Chair and to consider the committee’s agenda for the next year. When necessary and without special permission of the Faculty, committees may meet or otherwise conduct their business during the summer recess, though all such business must be reported and approved as usual at the stated meeting of the Faculty in August or September. During any such summer work, the committee shall consist of continuing and newly-elected committee members; any member unavailable for the summer may be replaced for that time by an available outgoing former member by vote of the committee. In the rare instance where a member of the faculty needs to resign from a standing committee of the faculty (or an equivalent service activity), written notice is to be sent to the Vice President for Academic Affairs and to the Committee on Committees. 

The Chair calls the committee meetings and carries out all other duties appropriate to the position. Each committee selects its own secretary unless a member of the administrative staff has been assigned to the task. The secretary keeps minutes, distributes minutes to the committee members, and works with the Chair in maintaining communication between the committee and the rest of the College.

Student members of the Faculty committees are appointed by the Rhodes Student Government. Appointees are nominated by the Rhodes Student Government Internal Affairs Committee which will, prior to the nominations, solicit applications from the student body at large to identify interested candidates. The slate of nominations must be approved by the Committee on Faculty Governance, with an eye to diverse student representation. Nominations will be voted upon by the Student Senate for final approval. Student representatives will be accountable to the Rhodes Student Government, and shall, after each meeting of their committee, submit a written report of the meeting to the chair of the Internal Affairs Committee within five days of the meeting. The representative may then be requested to attend the next Student Senate meeting to elaborate upon that report if the Internal Affairs Committee deems that to be appropriate.

No faculty member shall serve simultaneously on more than one of the following committees: Appeals, Tenure and Promotion, and Faculty Professional Interest.

Membership. Four faculty members (preferably one elected by each of the four curriculum divisions, serving 3-year terms. Two of the faculty members must be tenured, and junior faculty are not eligible to serve as chair); ex officio: the Dean of Students for Student Success (voting); the Director of New Student Programs (non-voting); the Registrar (non-voting); Director of Academic and Learning Resources to the committee (voting); an additional faculty member who has just completed his/her first year of advising first-year students will be invited by the committee to serve one year on the committee (non-voting). Student feedback from Rhodes Student Government will be invited in specific instances.

Duties.

• Oversee the academic advising program and work to promote an effective advising system
• Develop and oversee programs and workshops for the ongoing development of advisers and advisees, including:
• Registration workshops
• New advisor development
• Continuing advisor development
• Work to ensure that students are educated on appropriate advising expectations and their role and responsibility in the adviser-advisee relationship
• Serve as the resource on academic advising for all members of the community
• Revise and circulate annually the Advising Handbooks for Faculty and Students
• Develop and recommend guidelines for academic advisers
• Provide faculty interface with appropriate student services groups
• Provide guidance concerning the academic components in Open Rhodes and Welcome Week
• Review faculty petitions for variance from regular first-year advising

Expected Involvement. Meetings are held at the call of the Chair.

Membership. Five faculty members (one elected by each curriculum division, plus one elected at-large, 3-year terms); one student (member of the junior and/or senior classes, elected annually by the Student Senate); ex officio (non-voting): designated representative of the Office of Academic Affairs and Registrar.

Expected Involvement. Biweekly meetings are scheduled throughout the academic year. Ad hoc subcommittees may be established as needed.

Duties.

• Recommend to the Faculty general academic policies.
• Review and approve significant changes to requirements for existing educational programs and degrees, including majors, minors, certificates, credentials, Maymesters and other off-site programming, and master’s degrees.
• Request and review proposals or plans from Academic Affairs and make recommendations regarding the closure or combination of educational programs and degrees, including majors, minors, certificates, credentials, Maymesters, other off-site programming, and master’s degrees.
• Make recommendations to the Faculty about the creation of new educational programs and degrees, including majors, minors, certificates, credentials, Maymesters and other off-site programming, and master’s degrees.
• Review and approve student proposals for self-designed interdisciplinary majors.
• Review Buckman International Curriculum Grants and make recommendations about these grants to the Buckman Center for International Education.
• Report to the Office of Academic Affairs each year about one or more aspects of the educational program beyond the Foundations Curriculum.
  • The committee will consult with the Vice President for Academic Affairs and the council of chairs to determine which aspects of the curriculum it will undertake to review each year
  • Aspects of the educational program to be examined include, but are not limited to:
    • writing instruction
    • oral communication instruction
    • internship programs
    • senior seminars
    • preparing students for graduate and professional study
    • interdisciplinary study
    • study abroad
    • co-curricular and fellowship activities
    • These reviews will be based on information gathered from department and program chairs, from the Registrar’s Office, from the Office of Institutional Research, and from other offices of the College (e.g., career counseling, study abroad) as needed
    • Reviews will include:
      • a descriptive report of how the departments and programs vary in their implementation of these aspects of the curriculum;
      • an assessment of our overall effectiveness in meeting learning outcomes in these areas; and
      • a set of recommendations for continued progress in these areas
      • Oversee the Hill Presidential Initiative Grants.
        • Establish curricular priorities for proposals, based on the assessment work of this committee (described above) and on consultations with the Foundations Curriculum Committee
        • Review applications
        • Recommend to the Office of Academic Affairs grant awards
      • Review Buckman International Curriculum Grants and make recommendations about these grants to the Buckman Center for International Education.

Membership.  Four faculty members (one elected by each of the four academic divisions, 3-year terms); ex-officio (non-voting, except in case of a tie): Associate Dean of Admission or other senior Admission officer, as appointed by the Dean of Admission. One member of the committee will serve as the Admission Faculty Representative to the departmental liaisons.

Duties.

• Recommend to the faculty changes to academic policies for admission to the College.

• Advise the Dean of Admission about academic policies and standards for admission set by the Faculty, as indicated by the College Handbook.*

• Review and report to the faculty current admission and financial aid policy and trends as well as student retention rates.

• Advise and assist the Dean of Admission in coordinating faculty engagement in student recruitment.

Expected Involvement. Meetings are held at the call of the Chair.

*The College Bylaws delegate to the Faculty, through the regular channels described in Article VIII, the responsibility to admit students.

Membership. Five faculty members (one tenured representative elected by each of the four curriculum divisions, plus one tenured at-large member, 3-year terms). An alternate will be appointed by the Faculty Governance Committee in consultation with the chair of the appeals committee when a principal member is unavailable or must abstain for personal reasons or potential conflict of interest. The committee may hear Honor Council appeals with a quorum of 4 people at the discretion of the committee chair. Service on this committee precludes the holding of a seat on the Faculty Professional Interest Committee.

Duties.

• Hear appeals of faculty fourth-year review, tenure and promotion decisions and report their actions and conclusions to the President;
• Hear appeals of dismissal for cause cases and report their actions and conclusions to the President;
• Hear appeals of student Honor Council decisions and report their actions and conclusions to the parties designated in Article IV. Section 5 of the Honor Council Constitution (and to the Faculty, while preserving confidentiality).

Expected Involvement. Meetings are held at the call of the Chair.

Membership. Three tenured faculty members to be recommended by the Faculty Governance Committee, with open nominations accepted from the floor of the faculty, 3-year terms, non-repeatable consecutively. No two members shall be from the same division.  
 
Duties.

1. Conduct both divisional and faculty-at-large elections of committee members to the various standing committees of the faculty and report results to the Office of Academic Affairs, the Faculty Governance Committee, and the faulty-at-large.
2. Nominate personnel for standing faculty committees, with open nominations accepted from the floor.
3. Nominate the presiding officer, the faculty secretary, and the faculty parliamentarian, with open nominations accepted from the floor.
4. Approve a slate of student nominees for standing faculty committees, as submitted by the Rhodes Student Government.
5. Maintain a rotational system for membership on standing faculty committees.

Expected Involvement. Meetings are held at the call of the Chair.

Membership:

Five faculty members, all elected at large. At least 2 must hold tenure, and no more than 2 may represent any academic division. One student member, ex officio (non-voting); a representative of the Office of Academic Affairs, ex-officio (non-voting). When bringing nominees to the faculty for this committee, the Committee on Committees will seek to build a demographically, ideologically, and intellectually diverse committee, representing the broad range of experience and viewpoint found among the faculty.

Duties:

• Formulate and recommend to the faculty policies and strategies for promoting a diverse and equitable campus environment for all students and faculty. 
• Assist in the implementation of such policies and strategies, the assessment of their impact.
• Advise the Office of Academic Affairs on issues of diversity and equity.
• Liaise with the other faculty committees and with relevant offices of the College on issues of diversity and equity.
• Consult with the Title IX Officer on the College’s compliance with Title IX.
• Create ad hoc groups for specific projects related to the work of the committee.

Membership. Five faculty members (one elected by each of the four curriculum divisions, plus one elected at-large, 3-year terms; two should be tenured); ex officio Associate Dean of Students for Student Academic Support (voting); Director of Academic and Learning Resources; Registrar.

Duties.

• Act on individual requests for substitutions for or waivers of degree requirements;
• Act on individual requests for variation from academic policy;
• Evaluate college-level equivalence requests;
• Recommend policies and guidelines for academic probation, suspension, or leave of absence;
• Consider cases of academic probation, suspension, or leave or absence;
• Exercise oversight of and recommend changes in admissions standards and policy;
• Act on applications for readmission;
• Recommend requirements for eligibility for a degree;
• Recommend guidelines for determining “reasonable progress towards a degree,” including policy on course sequencing, course load limits, and definition of “acceptable academic work”;
• Recommend policies regarding grades, their meaning, and their use in determining grade point averages;
• Recommend policies for degrees with academic achievement and with honors.
• Serve as the Institutional Review Panel in cases involving appeals of awards of the Tennessee Hope Scholarships

Expected Involvement. Meetings are called by the Chair as needed. Ad Hoc subcommittees may be established as needed. 

Membership:

Five faculty members (one from each division, one at-large, at least two tenured); Associate Provost, ex-officio (non-voting); Chief Information Officer, ex-officio (non-voting); Director of Academic Technogies, ex-officio (non voting); Director of Physical Plant, ex-officio (non-voting); Director of Library, ex-officio (non-voting).

Charge:

• Address immediate concerns and current problems with academic space and technology for instructional, scholarly, and creative activities.
• Facilitate long-term planning of technology needs and services for classrooms, lecture halls, and performance spaces.
• Support faculty technology needs.
• Review policies and practices regarding the use of technology in instructional, scholarly, and creative spaces.
• Advise and guide the library regarding instructional, scholarly, and creative resources.
• Liaise with Information Services, Student Life, and other offices as relevant.

Membership. Five faculty members (one tenured faculty member elected by each of the four curriculum divisions and one tenured faculty member elected at-large, with a preference for faculty at the rank of professor, 3-year terms).

Duties.

• Receive recommendations from departments for tenure and promotion;
• Assess departmental recommendations and all other information used in the evaluation of candidates for tenure or promotion;
• Recommend action on each candidate to the Vice President for Academic Affairs and to the President;
• Publish specific procedures and have changes in these procedures affirmed by the Faculty.

Expected Involvement. Meetings are held at the call of the Chair. 

Membership. Five faculty members (one elected by each of the four curriculum divisions plus one elected at-large, 3-year terms); ex officio: a representative of the Office of Academic Affairs.

Duties:

• Oversee the Faculty development programs of the College and review specific proposals for sabbaticals and summer grants;
• Receive and review reports from faculty members who have had sabbaticals or grants;
• Advise the Office of Academic Affairs concerning applications for and administration of Faculty Development Endowment Grants, and other grants in support of faculty development.

Expected Involvement. Meetings are scheduled weekly for about six months of the academic year. Each member of the committee will have a supervisory role related to some segment of the committee’s work. 

Membership. Five tenured faculty members (one elected by each of the four curriculum divisions, one elected at large, 3-year terms); ex officio: Presiding Officer of the Faculty (non-voting except in case of a tie), Vice President for Academic Affairs.

Duties – In relation to the Faculty as a whole:

• Oversee the implementation of faculty actions, including handbook language changes;
• Provide general oversight of all standing committees of the faculty;
• Coordinate the process for faculty consideration and input when broad consultation is requested by the Vice President for Academic Affairs or the President;
• Recommend procedures for administration and collection of student evaluations of instruction;
• Make recommendations to the Faculty concerning the modification, establishment or elimination of standing committees;
• Supervise agenda for faculty meetings, procedures in faculty meetings, and the calling of special faculty meetings;

Duties – In relation to the Office of Academic Affairs:

• Advise the Vice President for Academic Affairs on any major change in academic direction or program;
• Advise the Vice President for Academic Affairs on the modification, addition or deletion of any department or program of instruction;
• Advise the Vice President for Academic Affairs on the overall academic budget;
• Advise the Vice President for Academic Affairs on the assignment, reassignment, addition and deletion of faculty positions; 
• Advise the Vice President for Academic Affairs on campus climate matters;
• Recommend procedures for the administration and collection of student evaluations of instruction.
• Coordinate with the Vice President of Academic Affairs to assure that handbook language changes approved by the faculty are placed on the agenda of the Board of Trustees meetings (when appropriate) and updates to the handbook are completed when approved by the Board of Trustees. 
• Conduct an annual review to ensure that all handbook language changes approved by the faculty and Board of Trustees that academic year are included in the handbook.

Membership. Five faculty members (one elected by each of the four curriculum divisions plus one elected at-large, 3-year terms, non-successive).

Duties.

• Advise the Faculty, on matters affecting the welfare of the Faculty as a whole and specifically on policies relating to conditions of employment, such as faculty remuneration, evaluation, tenure, promotion, and retirement;
• Serve as a watchdog committee for the maintenance of academic freedom, high standards of professional faculty conduct, and high standards of the academic program.
• Monitor the Bias Education Reporting System as it relates to faculty and faculty professional interests.
• Each year choose one member of the committee, preferably with tenure, to serve as a representative on the Campus Climate Team.

Expected Involvement. Meetings are held at the call of the Chair.

Membership. Five faculty members (one elected by each curriculum division, plus one elected at-large, 3-year terms); one student (member of the junior or senior class, elected annually by the Student Senate); a representative of the Office of Academic Affairs, ex officio (non-voting): ex officio (non-voting), Registrar.

Duties.

• Review and approve all new Foundations proposals;
• Review and re-approve, on a regular cycle, all existing Foundations experiences;
• Recommend to the Faculty policies regarding the Foundations Curriculum;
• Assess the Foundations curriculum.

Expected Involvement. Weekly or biweekly meetings are scheduled as necessary throughout the academic year. Ad hoc subcommittees may be established and may meet as needed.

Eligibility: Faculty member

Utilizing Benefit: When a faculty member must be absent due to their own illness during an academic semester, he or she should refer to Section V, "Professional Duties and Responsibilities" of the Policies and Procedures in Regard to Faculty. The Office of Academic Affairs and the department chair will arrange for temporary substitutes to cover teaching responsibilities. The faculty member will continue to receive salary when absent for their own illness. Faculty members will be responsible to pay the employee portion of benefits during an absence due to illness under the Family and Medical Leave Act. Faculty (FMLA) members do not accrue sick and/or vacation leave because faculty salaries are determined by annual academic year contracts.

In addition, each time a faculty member is out ill more than three (3) consecutive days, a written statement from the physician certifying the illness must be submitted to and reviewed by the Chief Human Resources Officer. The employee′s FMLA benefits will begin and the total amount of the employee′s Family and Medical Leave Act FMLA will be reduced by the amount of time he or she is out ill. (Refer to the Family and Medical Leave Act.)

Maximum: The maximum time period for temporary substitutes will be twelve (12) weeks.
 
Leave after Exhaustion of Benefit: Faculty members absent due to extended illness (12 weeks or longer) will be required to notify the Vice President for Academic Affairs and the Chief Human Resources Officer and request an extended leave of absence one month prior to the end of the first twelve (12) weeks. The faculty member must provide a written statement from a physician certifying medical necessity for the extended leave of absence. The Vice President for Academic Affairs and the Chief Human Resources Officer will determine the pay status of that faculty member. Benefits will continue during the extended leave of absence for a maximum of one year and the employee will pay the employee′s portion of the benefits.

The College may require that the eligible faculty member provide status reports to the Chief Human Resources Officer and the Office of Academic Affairs at least every thirty (30) days regarding the employee's condition.

The Vice President for Academic Affairs and the Chief Human Resources Officer reserve the right to require a second medical opinion from a College designated physician before approving extended leave benefits. Should the medical opinions of the employee′s physician and the College designated physician concerning the medical necessity of the leave differ, a third physician, chosen mutually by the employee and the College, will be asked to render an opinion. The majority opinion of the three physicians will be binding.

Illness due to pregnancy is treated the same as any other type of illness for the purposes of the Faculty Illness Policy (refer to the Family and Medical Leave Act).

In 1950, the office of Faculty Marshal was first included among the Officers of the Faculty. Prior to this time, a faculty committee, Public Functions, must have held the responsibilities subsequently given to the Faculty Marshals. Professor John Henry Davis became chair of that committee in 1944 (having been a committee member prior to this time) and apparently served until the change in 1950. In 1950, both Professor Davis and Professor Joe Embry (a member of the committee) became the first Faculty Marshals, and the committee was apparently disbanded. The following members of the Faculty have served as Faculty Marshals in the intervening fifty-one years.

• John Henry Davis (1950-1969)
• Joe Embry (1950-1962)
• Jack Russell (1957-1978)
• Charles Biggers (1962-1964)
• Emmett Anderson (1964-1982)
• Robert Amy (1968-1985)
• David Jeter (1978-present)
• Allan Barnhardt (1982-1998)
• Donald Tucker (1985-1998)
• Diane Clark (1994-2006)
• Robert Entzminger (1998-2001)
• Bette Ackerman (1999-2001)
• Anita Davis (2001-present)
• Mark Muesse (2001-present)
• Susan Kus (2006-present)
• Gail Murray (2012-2014)
• Bette Ackerman (2008-2015)
• Katheryn Wright (2014-2017)
• Gary Lindquester  (2008-2018)
• Katheryn Wright (2014-2017)
• David McCarthy (2014-present)
• Loretta Jackson-Hayes (2015-present)
• Leslie Petty (2017-present)
• Steve Ceccoli (2018-present)

Appointment of New Faculty Marshals. At the present time, there are five Faculty Marshals. When a position comes open among the Faculty Marshals, the remaining Marshals make a recommendation to the Vice President for Academic Affairs for a replacement. The Vice President for Academic Affairs appoints any new Marshals.

Eligibility. Eligibility for appointment obtains to any tenured or tenure-track member of the faculty. Matters of gender parity and divisional representation are appropriate considerations in selecting Marshals. Length of distinguished service to the College and leadership in the work of the Faculty should also be considered.

Term of Service. The term of service is undefined since the Marshals serve at the pleasure of the Vice President for Academic Affairs or until retirement.

Duties.

• Serve on the Commencement Committee.
• Organize and lead the processions at the Opening Convocation, the Awards Convocation, Baccalaureate, Commencement, and any other formal academic occasions.
• Supervise the arrangement of both the platform seating and the student seating sections at Baccalaureate and Commencement.
• Usher candidates onto the platform for the conferring of degrees at Commencement.
• Hood graduates prior to their leaving the platform at Commencement.
• Be of assistance to the President and others in the presentation of awards at Commencement.

Rhodes College will provide leave for pregnancy, birth, adoption and nursing as set forth in the Tennessee Maternity Leave Act “TMLA”; T.C.A. 4-21-408. Leave under this policy is intended to and will run concurrently with leave under the College’s Family Medical Leave policy and Faculty Illness policy (which includes up to 12 weeks of paid leave), to the extent applicable. [Nota bene: For legal purposes, pregnancies are referred to as an illness.]

The TMLA provides for up to an additional four weeks of unpaid leave for adoption, pregnancy, childbirth, and nursing an infant to employees upon request who have been employed by the College for at least twelve consecutive months as full-time employees prior to the commencement of the leave. Leave for adoption commences at the time placement of the child.

The faculty member seeking leave must give the Chief Human Resources Officer and the Vice President for Academic Affairs no less than three months advance notice of intent to take the leave, unless a medical emergency develops or the notice of adoption was received less than three months in advance of placement.

The employee taking leave under this policy must notify the College of the requested length of the leave and express the intent to return to full time status at the end of the leave.

The employee may not pursue any other employment in any way during the leave.

Faculty members who intend to request a maternity leave should contact the Vice President for Academic Affairs, their department chair, and Human Resources to ask questions about the process or request further clarification of College policies.

Eligibility: Tenured Faculty or Faculty on Probationary Appointments who have been employed by the College at least one year before the leave is to begin. Therefore, part-time faculty, faculty on term contracts, or terminal year contracts will not be eligible for this paid leave. Faculty who are otherwise eligible for FMLA leave but not eligible for paid parental leave under this policy must follow the terms of the College’s FMLA policy and, if applicable, the Tennessee Maternity Leave Policy and Faculty Illness policy.

Benefit: One semester leave of absence for the primary caregiver parent of the newborn minor child or minor child placed for adoption, twelve weeks of which will be paid leave.

Utilizing the Benefit:

• Leave under this policy must be taken in one semester and is paid up to a total of twelve weeks. A semester begins on the first scheduled day of classes and ends on the last scheduled day of classes. Leave under this policy must be taken in consecutive weeks.
• The Parental Leave under this policy may be taken during the semester in which the child is born, or first placed for adoption or during a subsequent semester that begins no later than six months after the birth or placement for adoption of the child with the faculty member. Leave under this policy will start at the beginning of an academic term. Leave under this policy is not available when a spouse adopts the already born minor child(ren) of a spouse. 
• Leave under this policy will run concurrently with any other available leave including FMLA, Faculty Illness and Tennessee Maternity Leave, to the extent applicable, and will not exceed twelve weeks of pay.
• Faculty who will be requesting Parental Leave under this policy must notify the Department Chair, the Vice President of Academic Affairs, and Chief Human Resources Officer as soon as the need for such leave is foreseeable. In order to request leave for the Fall Term, leave must be requested no later than June 1 of the previous term. For leave in the Spring Term leave must be requested no later than October 1 of the previous term. The College reserves the right to deny or delay the granting of paid Parental Leave where notice is not given in a timely fashion. 
• Primary caregiver is the faculty member who is primarily responsible for the day to day custody, care and control of the child. A request for Parental Leave must be accompanied by an Affidavit of primary caregiver status. The affidavit form is available in Human Resources.
• Parental Leave may be split between two eligible faculty members with approval of the Vice President of Academic Affairs and Chief Human Resources Officer and with consideration given to the needs of the College. If approval to split the semester is given, each eligible parent must complete an Affidavit of Primary Caregiver covering that period of time during which each faculty member will be the primary caregiver for the child. Under any circumstance no more than one semester of leave will be granted per birth or initial placement of a minor child and paid leave will be limited to twelve weeks under this policy. 
• A faculty member taking Parental Leave will receive the same benefits as she or he would have received that semester if not on leave, under the same terms as though she or he was working. However, leave under this policy will not count toward sabbatical leave eligibility.
• Parental Leave is available to spouses, domestic partners, and birthparents who are otherwise eligible under this policy.
• Unless waived by the Vice President of Academic Affairs, a faculty member who takes Parental Leave is obligated to return to active status for at least an equivalent period immediately following such leave in order to retain the benefits of the leave, including salary paid. If the faculty member who has taken paid Parental Leave does not return she/he shall be responsible to return the pay received under this policy unless otherwise waived by the Vice President of Academic Affairs.

There is no more fundamental relationship in an academic program than that of the instructor and student. The Faculty and its academic officers work to support and to sustain a meaningful and productive instructor-student relationship to secure the educational aims of the College and of the members of its Faculty. Clearly the relationship is not one between equals, and this is most clearly evident when the instructor must assign a grade for the work required of, or expected of, a student.

General Provisions: On occasion a student may believe that a grade assigned is incorrect. Indeed it is possible that a mistake can be made in reporting a grade. The student has the right to initiate a discussion with the instructor to determine that the grade given is in fact correct. If a mistake has been made, the instructor changes the grade and, if it is necessary, requests the Office of Academic Affairs, to change a grade that has been officially entered on a student’s final grade report. In the event that, after consulting with the instructor, the student is not satisfied that a grade has been assigned fairly, the student may write an explanation of why he or she believes the grade assigned is not justified. The student gives this statement to the instructor who may decide that the explanation warrants a reconsideration of the grade assigned. If the instructor decides not to change the assigned grade and discussion with the student does not result in the student’s agreement with this decision, the instructor will ask the department chair to review the procedures for determining grades in the course, the student’s request, and the instructor’s response to it. The faculty member provides a written statement to the department chair about why the original grade is valid.

Should the chair of the department determine that no lapse in procedure has occurred and that full attention has been given to the explanation by the instructor, the matter is closed. The chair of the department communicates this to the student and the instructor.

Should the chair of the department determine that the procedure was not properly followed or that additional attention to the explanation is warranted, the chair discusses the situation with the instructor. The chair may also obtain additional evaluations of the student’s work that promises a constructive response to instructor and the student. These evaluations will be requested from colleagues within the Faculty whose knowledge and expertise are appropriate to a review of the student’s work. Having completed this additional evaluation, the chair’s determination about the grade closes the matter. The chair of the department communicates this to the student and the instructor.
 
Special provisions:

• Time-limits: If the grade on a particular piece of work during a semester is questioned, the appeal for reconsideration must be made within four weeks of the receipt of the grade. The period of time during which appeals of final grades can be made expires at the end of the fourth week of the semester following the posting of the grade.
• Substitutes for the department chair: In the event that appeals for reconsideration of grades involves grades assigned by a chair of a department, then the procedure outlined here will be conducted by the senior member of the department, or the next senior member of the department in the event that the chair is the senior member.
• Claims of discrimination: The provisions outlined above are meant to apply to situations in which appeals for reconsideration of grades are made by students. There can be circumstances in which a student’s complaint involves a belief that he or she has been discriminated against because of the practices in managing a course. The Vice President for Academic Affairs is the administrative officer to receive any such complaint. It may be that the Vice President for Academic Affairs will ask that the general provisions above be followed in an investigation of possible discrimination.

Reports of students’ grades are made to the Registrar at the mid-semester and at the end of each semester. All grades are submitted electronically via Web for Faculty on BannerWeb. In official recording of academic work, the following symbols are employed:

• A, excellent;
• B, good;
• C, satisfactory;
• D, passing;
• F, failing;
• P, pass;
• E, reexamination;
• X, incomplete;
• IP, honors work in progress;
• NG, grade not submitted by professor;
• WP, withdrew passing;
• WF, withdrew failing.

E and X grades are conditional and are removed during the following semester. The faculty member indicates on the course withdrawal form if the student who withdraws from a course is to receive a WP or WF. WP and WF are not computed in the student’s grade point average. A, B, C, and D can be employed with minus notations; B, C, and D may have the plus notation, but not the grade of A.

At the mid-semester reporting period, the S grade may be used to denote satisfactory work. The S grade is not recommended for first-year students, however. It is important for first-year students to have a clear declaration of their standing in classes at the mid-semester point. This is achieved by recording the grade that reflects this standing. In addition to A, B, C, D, and S, the grade of D and F may be subscripted at the mid-semester point with the following numbers as indicated:

• 1, poor or failing work due to excessive absences;
• 2, poor or failing work due to class work;
• 3, poor or failing work due to a combination of both absences and class work.

Any student who has received a grade of D-, D, or D+ in a course may repeat the course for a higher grade. No additional hours credit may be earned when repeating a course for a higher grade. Any student who has failed a course may repeat the course for credit. When calculating a student’s overall grade point average, the hours attempted and the grade points earned for each attempt of the course are included. However, only one failure of a course will be calculated in the grade point average.

Students may enroll in a class on a pass/fail basis for one course per semester, or two courses per year. Permission of the professor is required and must be obtained during the first two weeks of the class in each semester. If there are special conditions to be met for the pass grade to be earned, e.g., an average higher than a D- as defined on the syllabus, the professor and student should have a written agreement as to those conditions. No more than six courses taken pass/fail are permitted to count towards graduation. The pass/fail option may not be used in courses taken to satisfy general degree requirements or courses taken to satisfy major requirements including cognate courses.

Credit hours with a grade of pass are not included in the determination of the grade point average although those hours with a grade of fail are included. A student who has a passing average on course work and who fails the final examination and, as a result has a failing average for the course, may, at the discretion of the professor, be permitted to take a reexamination. An E grade is given in this case and a special notation must be made with the Registrar by the professor. Students with E grades must notify the Registrar of their intention to take reexaminations at least one week in advance of the scheduled time and must pay the required fee. If the student passes the reexamination, a term grade of D-, D, or D+ will be earned, unless the course was taken pass/fail, in which case the grade of P will be recorded. Seniors in the final term of attendance are eligible for reexamination without delay at the discretion of the faculty member if they fail a final examination.

The grade of X (incomplete) will be given to the student who is unable to complete course work, including the final examination, because of illness or other emergency. Upon completion of the unfinished work, the student will receive whatever final grade is earned.

All unfinished work must be completed and all conditional grades must be removed by the professor submitting a final grade to the Registrar’s Office no later than the end of the fourth week of classes of the following term. After the removal of an X or E grade by the professor, the student must clear the record with the Registrar’s Office and Bursar’s Office by the end of the sixth week of classes of the following term. If illness or other extraordinary circumstances prevent this, then a petition requesting an extension must be submitted for the approval by the Standards and Standing Committee. Conditional grades not removed by the deadline will become grades of F.

Reports of students’ grades are available online on the Rhodes website at the end of each semester. Students are responsible for keeping other family members correctly and currently informed of their academic standing and progress. Mid-semester deficiency reports are mailed to those students who have a grade of D+ or below. Complete mid-semester reports are also available online to the students and their faculty advisors.

Revised January 26, 2014
In effect April 26, 2004.
Dean of the Faculty and Vice President for Academic Affairs.

Faculty members are encouraged to develop new courses. Faculty members desiring to submit such courses should first discuss the matter within their departments and secure departmental approval. Course approval forms are available online.

Proposals of new Foundations courses are evaluated by the Foundations Curriculum Committee which ultimately makes a recommendation to the Faculty for its action. Forms for submission are available from the Registrar. All other courses require approval by the department.

The course category, “099 – Selected Topics,” offers departments and individual professors an appropriate avenue for experimentation in both substance and method before offering a new course among the regular course listings. “099” courses are normally open to all students. Prerequisites and other limitations may be set by the professor, who may also determine the degree of informality, contact hours, and other components of the course. Courses numbered “099” do not routinely carry credit value in satisfying general or major degree requirements.

It is expected that existing courses will be modified continuously to reflect current materials, established pedagogical practices, and modified expectations for student performance. Such changes do not need approval by the Faculty. However, substantial modifications in the objectives, content, and method of instruction in a Foundations course should be reviewed by the department and submitted for review by the Foundations Curriculum Committee. Such modifications are tantamount to designing a new course.

Faculty offices are assigned by the Office of Academic Affairs. Requests for changes in office assignments may be made in the spring to the Office of Academic Affairs. Arrangements are made in late spring and early summer so that any changes in faculty offices can be effected over the summer.

Faculty members may secure keys for offices and for the outside door of their office building from the Administrative Services Office. Faculty who are not returning for the next academic year are expected to vacate their offices by June 30. If any faculty member wishes to remain beyond that time, he or she must submit a request for an extension to the Vice President for Academic Affairs who will determine whether space is available or not.

Faculty offices are furnished with a desk, desk chair, shelving for books, a filing cabinet, and side chair. Office equipment may be augmented by purchases supported by departmental funds, or by appeal to the Vice President for Academic Affairs for special consideration.

The College provides a desk-top computer in each faculty office connected to the College information services network. Servicing and replacement of this computer is provided by the College. The College provides a standard computer for each faculty office to run campus standard software applications. The standard configuration for hardware and software is posted on the ITS website. ITS normally replaces these computers on a three-year cycle. ITS provides all support services for standard hardware and software installations only. A member of the Faculty who is not reappointed for the next academic year or whose appointment status involves a terminal year for the next academic year may no longer have access to ITS services or ITS-maintained services, including but not limited to email, account privileges on the network or an office computer.

Links to Online Copyright Guides [E-Books licensed for Rhodes College access from NetLibrary]

• Guidelines For Educational Use Of Copyrighted Materials
• Pullman, Wash. : Washington State University Press, 1997.
• The Copyright Book
• by Strong, William S.
• Cambridge, Mass. : MIT Press, 1999.
• Getting Permission by Stim, Richard.
• Berkeley, Calif.: Nolo, 2000.
• The Copyright Primer For Librarians And Educators by Bruwelheide, Janis H.
• Chicago : Washington, DC : ALA Editions of the American Library Association, 1995.
• Copyright and Fair Use – Stanford University Website

Single Copying for Teachers. A single copy may be made of any of the following by or for a teacher at his or her individual request for his or her scholarly research or use in teaching or preparation to teach a class:

• A chapter from a book
• An article from a periodical or newspaper
• A short story, short essay or short poem (whether or not from a collective work)
• A chart, graph, diagram, drawing, cartoon or picture from a book, periodical, or newspaper

Multiple Copies for Classroom Use. Multiple copies (not to exceed in any event more than one copy per pupil in a course) may be made by the teacher giving the course for classroom use or discussion provided that:

• The copying meets the tests of brevity and spontaneity as defined below
• Meets the cumulative effect test as defined below
• Each copy includes a notice of copy

Definitions:
Brevity:

1. Poetry: (a) A complete poem if less than 250 words and if printed on not more than two pages, (b) From a longer poem, an excerpt of not more than 250 words.
2. Prose: (a) Either a complete article, story, or essay of less than 2,500 words, (b) an excerpt from any prose work of not more than 1,000 words or 10% of the work whichever is less, but in any event a minimum of 500 words. (Each of the numerical limits stated above may be expanded to permit the completion of an unfinished line of a poem or of an unfinished prose paragraph.)
3. Illustration: (a) One chart, graph, diagram, drawing, cartoon or picture per book, or per periodical issue.
4. Special works: (a) Certain works in poetry, prose, or in “poetic prose” which often combine language with illustrations and which are intended sometimes for children and at other times for a more general audience fall short of 2,500 words in their entirety. Paragraph 2 above notwithstanding, such “special works” may not be reproduced in their entirety. An excerpt comprising not more than two of the published pages of such special work and containing not more than 10% of the words found in the text thereof may be reproduced.

Spontaneity:

1. The copying is at the instance and inspiration of the individual teacher.
2. The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that it would be unreasonable to expect a timely reply to a request for permission.

Cumulative Effect:

1. The copying of the material is for only one course in the school in which the copies are made.
2. Not more than one short poem, article, story, essay, or two excerpts may be copied from the same author, nor more than three from the same collective work or periodical volume during one class term.
3. There shall not be more than nine instances of such multiple copying for one course during one class term. (The limitations stated in 2 and 3 above shall not apply to current news periodicals and newspapers and current news sections of other periodicals.)

Prohibitions. Notwithstanding any of the above, the following shall be prohibited:

1. Copying shall not be used to create or to replace or substitute for anthologies, compilations, or collective works. Such replacement or substitution may occur whether copies of various works or excerpts there from are accumulated or are reproduced and used separately.
2. There shall be no copying of or from works intended to be “consumable” in the course of study or of teaching. These include workbooks, exercises, standardized tests, test booklets and answer sheets, and like consumable material.
3. Copying shall not: (a) substitute for the purchase of books, publisher’s reprints or periodicals, (b) be directed by higher authority, (c) be repeated with respect to the same item by the same teacher from term to term.
4. No charge shall be made to the student beyond the actual cost of the photocopying.

Permission for Use. When a proposed use of photocopied material requires a faculty member to request permission, communication of complete and accurate information to the copyright owner will facilitate the request. The Association of American Publishers suggests that the following information be included to expedite the process.

• Title, author and/or editor, and edition of materials to be duplicated.
• Exact material to be used, giving amount, page numbers, chapters and, if possible, a photocopy of the material.
• Numbers of copies to be made.
• Use to be made of duplicated materials.
• Form of distribution (classroom, newsletter, etc.).
• Whether or not the material is to be sold.
• Type of reprint (photocopy, offset, typeset).

The request should be sent, together with a self-addressed return envelope, to the permissions department of the publisher in question. For purposes of proof, and to define the scope of the permission, it is important that the permission be in writing.

The process of considering permission requests requires time for the publisher to check the status and ownership of rights and related matters, and to evaluate the request. It is advisable, therefore, to allow sufficient lead time. In some instances the publisher may assess a fee for permission, which may be passed on to students who receive copies of the photocopied material. 

Professional support funds provided by the Chief Academic Officer to funded Chairs and to full-time, continuing, members of the Faculty are meant to be discretionary funds, supporting the scholarship of the faculty member.

The following guidelines describe the approved uses of and accounting for these funds.

1. The funds are expected to be expended within the time frame established when awarded. Any remaining funds must be used within two additional calendar years.  Reports (detailing how funds were expended and describing the work achieved) must be submitted to the Office of Academic Affairs by 1 October following the year during which the funds were made available.
2. Funds may not be taken as stipend or compensation, nor may they be used for personal expenses.
3. Funds may be used for materials – e.g. books, journal subscriptions, professional memberships, equipment in support of scholarship – and for services – e.g. student assistants, consultants. Materials and services should be in direct support of research or creative activity projects of the faculty member. The employment of student assistants should be administered through the Human Resources Department of the College; provisions must be made to cover the necessary social security and withholding deductions.
4. Funds awarded will be used for professional travel in support of relevant research and creative activity. Examples of such needs include travel to professional conferences; travel to libraries, archives, laboratories, or performances (for purposes of information collection and study); and travel for purposes of professional collaboration or conducting interviews. Expenses to be covered may include reimbursement for transportation costs, registration and admission fees, and lodging costs.
5. Professional support funds may be used to purchase computers and peripheral devices subject to the following criteria: 
   • Proposed purchases must be reviewed with the Director for Information Technology Services to determine that the equipment will perform adequately in its desired function.
   • Proposed purchases for computers and peripheral devices must conform to institutional standards for such equipment, posted on the Information Technology Services web site. Appeals for nonstandard equipment must be made in writing and addressed to the Chief Information Officer and, such equipment may be purchased only after approval from the Chief Information Officer.
   • Computers and peripherals purchased with professional support funds are not considered as part of the College’s operational inventory; as such, support and maintenance, including upgrades and replacement when necessary, are the responsibility of the faculty member unless other accommodations are made in advance of the purchase.
   • Computers and peripherals remain the property of Rhodes College.
6. Professional support funds may be used to purchase scientific equipment subject to the following criteria:
   • The purchases must be approved by the Chair of the department of the faculty member. Orders for equipment are processed following standard College procedures for the purchase of scientific equipment and laboratory supplies.
   • A plan for the maintenance and upgrade of the equipment is agreed to in advance by the faculty member and the Chair of the department.
   • The equipment remains the property of Rhodes College should the faculty member leave Rhodes.

Notes

• All records are housed in the vault of the Bursar’s Office or the Registrar’s Office unless otherwise noted.
• Number of years refers to period of time following last term of enrollment (if student enrolled) or term of application (if student never enrolled).
• Student academic files are stored alphabetically by student name.
• Other records are filed alphabetically by record type and/or year.
• Online versions of the College Catalogue are available at  https://www.rhodes.edu/academics/college-catalogue

Students must register for each semester. Registration takes place in November for the Spring Semester and in late March for the following Fall Semester. Since registration advising is done over a period of days designated for each class, faculty members serving as academic advisors and department chairs are expected to maintain extra office hours during the registration period. At the beginning of each semester, students make any desired changes in the registered schedule and validate their enrollment and the schedule. Students are required to clear any financial obligations they have to the College prior to enrolling. Enrollment clearance is usually the day before classes begin in each semester.

Three-Year Renewable Faculty Professorships. Rotational Professorships are awarded for a three-year term to faculty members of Rhodes College who are engaged in significant scholarly projects in the form of research or creative activity. Normally, such Professorships will be awarded to tenured full time faculty members. Recipients of Professorships will receive $7,500 per year to fund the expenses associated with their projects.

Purpose and Appointment Criteria. The purpose of the Rotational Professorships is to support faculty scholarship (research, and creative activity). Therefore, faculty members who show promise of producing work that will be evaluated positively by their peers will be appointed. Promise will be determined by a faculty member’s past performance as well as by an articulated plan for scholarly activity to be completed during the three year period of appointment to the Professorship.

Rotational Professorships may be renewed once only, for up to three additional years, should the faculty member be able to demonstrate both an on-going need for support and tangible results – for example, substantial completed, published, or exhibited work – stemming from activity undertaken during the first term in the Professorship. (In exceptional circumstances, continuation for a third term may be considered.)

Rotational Professors will be ineligible to apply for summer Faculty Development Endowment Grants. Normally, such Professors also will be ineligible to receive travel support from the standard faculty travel budget. Rotational Professors will, after the termination of their term, have two additional years to call upon any funds that may remain in their accounts to cover research expenses associated with their projects.

Annual Reports. Holders of Rotational Professorships are required to submit a report of their project activities annually, by 1 October following each year in the Professorship, to the Office of Academic Affairs. The report will consist of a one or two page statement of scholarly activity completed during the year as well as any outcomes resulting from that activity, and a one-page overview of funds expended. 

Initial Appointment (first three-year term)

1. When a rotational professorship is vacated the Office of Academic Affairs compiles a list of all faculty members who are eligible to fill the open professorship. Normally, only tenured members of the faculty in relevant departments who have not held a rotational professorship for at least six years are considered to be eligible.

2. The Office of Academic Affairs notifies the eligible faculty members, who are invited to prepare an application (made up of a three- to five-page proposal and an updated vita), and provides them with a precise timeline for the process. Notification normally will take place no later than early March. Faculty considering application will be encouraged to consult with their department chairs before doing so. (In cases where the department chair is a candidate for the professorship in question, faculty considering application should consult with the faculty colleague who is vacating the professorship in question.)

3. The proposals are reviewed by a four-person group made up of two representatives of the Office of Academic Affairs and the Chairs of two standing committees of the Faculty: the Faculty Development Committee and the Faculty Governance Committee. These proposals normally will be due no later than early April. Relevant departmental chairpersons also will be consulted unless they are themselves candidates for the professorship in question.

4. If either of these two faculty committee members is required to evaluate a proposal that comes from themselves or from any member of their academic department, the faculty member in question will recuse himself or herself and the faculty committee in question will appoint a replacement.

5. The four-member group evaluates and ranks the proposals. Criteria for evaluation include (but are not limited to): the quality of the proposal; its significance to the professor’s ongoing scholarly program; the professor’s scholarly track record; a record of effectiveness in the two other areas of professional assessment (teaching and service); and matters of rank and years of service to the College.

6. The group then makes a recommendation to the Vice President for Academic Affairs, who will make the final decision.

7. The Office of Academic Affairs notifies the candidates. This notification normally will be given by the end of April.

Renewal (second and final three-year term)

1. In the final year of the first term of a three-year rotational professorship appointment, the professor has the option of applying for a second and final three-year term in the professorship. This application is made to the Office of Academic Affairs. The application will include a summary of scholarship achieved during the first term, a discussion of work to be completed in the second term, and an updated vita.

2. This material is evaluated by the above four-member group, which then makes a recommendation to the Vice President for Academic Affairs, who makes the final decision.

3. If the renewal application is approved, the faculty member is appointed for a second (and final) three-year term. (If not approved, a representative of the Office of Academic Affairs compiles a list of all faculty members who are eligible to fill the open professorship and follows the process described in the section above.)

4. The designated the Office of Academic Affairs notifies the candidates. This notification normally will be given by the end of April.

Departmental assistants are employed to provide secretarial and administrative assistance to faculty members in their specific academic departments. This includes, but is not limited to, providing a liaison between department members and administrative support staff, assistance in preparation of professional correspondence, classroom and laboratory materials, professional manuscripts, memos and minutes relating to faculty committee business, and grant proposals, ordering office supplies, paying invoices, and coordinating departmental faculty recruiting efforts and departmental events such as guest lectures. The standard secretarial duty of being the receptionist for the department, including receiving calls to the department, receiving visitors, arranging appointments, is expected of those persons whose offices and faculty permit this level of assistance to be available. Departmental assistants are not expected to handle personal business for members of their departments.

Because of the changing technology that supports secretarial services - word processors, electronic mail, spreadsheets, and administrative software - departmental assistants must keep themselves up-to-date with the technology in place at the College that enables the institution and its staff to work efficiently. Both the immediate supervisor of the departmental assistant and the assistant must work to ensure that the skills and competencies necessary to provide the services needed are developed.

Work-study students are trained and supervised by the departmental assistants to assist them in carrying out their work. Work-study students may be assigned other departmental responsibilities under the supervision of the department assistants, e.g., maintenance of departmental libraries and files, preparations for departmental events (food and beverages, etc.), updating departmental bulletin boards.

Each assistant will accept work and indicate an expected finish-time. To the extent possible, work requiring immediate attention will be done as soon as possible, but it cannot be expected that assistants can respond to all last minute requests. Work on syllabi, course outlines, quizzes, examinations, etc., should be given to the assistants sufficiently in advance of the date needed so that they can conveniently manage their total work load and fulfill faculty members’ requests. Generally, a lead-time of two days is customary, with the exception of manuscripts that may require several weeks for completion.

When major projects require the work of more than one assistant, the department assistant assigned will call the administrative assistant in the Office of Academic Affairs. Every effort will be made to coordinate all the assistants to complete the project.

The immediate supervisor for a departmental assistant is the chair of the department. This is the person who completes the annual assessment.

Note: Amendments to this document requires approval of the Rhodes Board of Trustees.

(Updated August 8, 2005)

Amended by Faculty action, February 16, 2011

Appropriate sections of the Bylaws of the Board of Trustees of Rhodes College also govern the academic program of the College.

The Statement of Policies and Procedures in Regard to Faculty may be amended at a stated meeting of the Board of Trustees by a majority of its voting members. However, as provided in the by-laws, at least sixty (60) days notice must be given to the Faculty of proposed changes, during which period the Faculty shall have opportunity to express its views to the Board. No action that would rescind the College’s obligations to Faculty under contract can become effective until the end of the Faculty contracts currently in force.

Other Procedures. The Faculty has adopted other more detailed procedures for carrying out its business and formulating its recommendations. These must be consistent with the letter and spirit of this Statement of Policies and Procedures in Regard to Faculty.

A. Membership. The President of the College, the Vice President for Academic Affairs and the Associate Provosts, and all full-time officers of instruction are members of the Faculty of Rhodes College. A part-time officer of instruction who has been appointed at one-half time or more for at least three years may, at his or her request, be extended the privileges and responsibilities of a member of the Faculty. The service responsibilities of such members of the Faculty will be in rough proportion to the fraction of full-time that they serve.

The designation, officer of instruction, includes all persons within the institution appointed with academic rank except instructors in physical education and certain instructors in applied music. The ranks are: Instructor, Assistant Professor, Associate Professor, and Professor and any of these named ranks when modified by the terms—Adjunct, Visiting, Distinguished, or Distinguished Service.

B. Responsibilities. Articles VII and VIII of the College Bylaws describe the responsibilities of the Faculty in academic matters.

The Faculty’s concern extends to areas beyond the strictly academic, as they are concerned with the whole of student and community life. Thus it is proper for Faculty, individually and collectively, to express their views and give advice privately to the Vice President for Academic Affairs, the other representatives of Academic Affairs, the President, and other administrative officers on nonacademic matters.

In general the Faculty and the Vice President for Academic Affairs will take care to inform each other of policy discussions in a timely way so that appropriate advice can be given before action is taken.

C. Meetings. The Faculty shall meet monthly during the academic year to carry out its business. Normally these meetings will be held on the first or second Wednesday of the month at 4:15 p.m. Faculty can change or cancel a scheduled meeting by majority vote. Scheduled meetings of the Faculty occur in August (the opening meeting), September, October, November, December, January, February, March, April, and May. The Faculty elects the Presiding Officer in May for the next academic year. Absences from meetings of the Faculty may be excused by the Vice President for Academic Affairs if requests and explanations are presented to the Secretary of the Faculty in advance of the meeting or immediately afterwards if there are extenuating circumstances. 

There are in addition three meetings of the Faculty each year which are designated formal academic occasions. These are:

1. The Opening (Founders) Convocation in the fall semester
2. The Awards Convocation in the spring semester
3. The Commencement Exercises at graduation

Additional Special Convocations may be called by the President. Attendance and academic regalia are required at each of these formal academic occasions. Absences may be excused if requests and explanations are presented to the Vice President for Academic Affairs in advance of the formal academic occasion.

The Faculty may be called into special session by the President or upon the request of one-fourth of the members of the Faculty. Special sessions of the Faculty shall be designated “for discussion” or “for action.” In special sessions for action all of the rules and procedures of this “Statement of Policies and Procedures in Regard to Faculty” apply.

Members of the Faculty are required to attend regular and special meetings of the Faculty and Faculty retreats unless excused by the Vice President for Academic Affairs. Classes should not be scheduled to conflict continuously with scheduled meetings of the Faculty.

The Faculty shall elect such officers as it deems necessary to carry out its responsibilities. The Faculty Secretary is elected for a one-year term, and is responsible for keeping the minutes of Faculty meetings and such other records as the Faculty determines. A Faculty Parliamentarian is elected for a one-year term. In addition, four Faculty Marshals are appointed by the President.

More detailed rules and procedures concerning the Faculty meeting are given in Appendix A.

D. Committees. The Faculty shall have the authority to establish any standing committees it deems necessary to meet its responsibilities. Such committees derive their powers and responsibilities from the Faculty and their actions are subject to Faculty review and possible veto.

Though established by the Faculty and subject to it, such standing committees include student and administrative members when appropriate to the committee’s area of concern. The President and the Vice President for Academic Affairs shall be members, ex-officio, of all standing committees, unless the Faculty action in constituting the committee explicitly excludes these members. The The Vice President of Academic Affairs may name a representative from the Office of Academic Affairs as a liaison to the committees of the Faculty.

Appointments to the Rhodes Faculty are made by the Board of Trustees on the recommendation of the President of the College. Responsibility for the formulation of recommendations in these matters is delegated to the Faculty as described in the College By-laws, Article VII, Section 1 and Article VIII, Section 2. Appointments to the Faculty are made to those persons who are expected to combine intellectual excellence with a strong commitment to the liberal arts and to Rhodes’ mission.

The allocation of all full-time Faculty positions among the various departments shall be made by the President after receipt of a recommendation from the Vice President for Academic Affairs. The Vice President for Academic Affairs′s recommendations are formulated in consultation with the Faculty Governance Committee, and, with departmental chairs. The recommendations will define the educational qualifications and experience required of candidates for the position, the rank(s) at which the appointment can be made, the anticipated teaching responsibilities, and the approximate level of remuneration.

A. The Search Committee. The search is normally carried out by a search committee. The Vice President for Academic Affairs appoints search committees after consultation with the chair of the department where the appointment is expected to be made.

B. The Search Process. The appointment of excellent candidates to on-going Faculty positions requires that the search be carried out in a timely way with special efforts made to attract a large, well-qualified pool of applicants representing as great a diversity in its composition as possible in support of the recruitment and hiring goals for the College. Announcements describing the position should be written to attract the broadest possible group of applicants whose preparation is consistent with the requirements of the position. When doubts exist about the adequacy of the applicant pool or the excellence of the best candidates, the search will be reopened or continued in the next academic year.

In conducting the search, the following steps will normally be followed:

1. The position will be announced in appropriate disciplinary publications with broad national circulation.
2. Clear expectations about the adequacy of the applicant pool should be defined before the search begins. If the pool is inadequate, the search will be re-opened or continued before narrowing down the pool.
3. Those responsible for the search process must be certain that the search meets the College’s definitions of equal opportunity employment.
4. Promising candidates will be interviewed at national meetings when possible.
5. Normally three candidates are invited to visit the campus.
6. Campus visits will include interviews with department members, students (preferably majors) and appropriate administrators. 
   The candidate will make a public presentation open to any Faculty member or student. When possible the candidate should also make a classroom presentation.
7. Following consultation with those who interviewed the candidates, the Chair of the Search Committee will make the Committee’s recommendations to the Vice President for Academic Affairs.
8. The Office of Academic Affairs monitors the recruitment process to ensure that diversity goals for the College are maintained.

C. Faculty Appointments. New officers of instruction holding an earned doctorate will be appointed to the rank of assistant professor unless prior teaching experience and scholarly production justify appointment at a higher level. Confirmation of all new Faculty members’ credentials will be obtained in writing by the Office of Academic Affairs before the beginning of the new Faculty member’s appointment. New officers of instruction who do not hold the doctorate will normally be appointed to the rank, instructor. Promotion to assistant professor is made immediately upon completion of the appropriate terminal degree.

In certain disciplines a terminal degree other than the doctorate is considered appropriate for appointment to a professorial rank. In rare cases, other kinds of professional certification or outstanding accomplishments may provide the rationale for professorial rank.

New full-time appointments to the Faculty are designated tenure track or nontenure track and are given term or probationary contracts as described in Section “IV. Faculty Contracts.” On rare occasions a new appointment of an experienced Faculty member can be made with tenure if approved by the Board of Trustees.

Part-time appointments to the Faculty are always made on term contract and cannot lead to tenure.

Named Chairs: In departments in which special funds provide for named chairs, additional recognition of distinguished professional accomplishment may be given by naming officers of instruction to such chairs. The President, with advice from the Vice President for Academic Affairs, will designate Faculty members to occupy named chairs.

Emeritus/Emerita Professor: The rank emeritus or emerita professor may be granted to Faculty at or after retirement by the President in order to recognize years of distinguished service. A member of the Faculty may, upon retirement from the College, be designated as an emeritus/emerita member of the Rhodes College community if the following criteria are met:

1. The person must have served the College as a full-time member of the Faculty for at least ten consecutive academic years.
2. The person must be honorably retired at the College.
3. The person must be eligible to draw retirement benefits as defined by applicable federal and local (e.g. college) regulations.
4. The person must be recommended to the Faculty Governance Committee, by the Vice President for Academic Affairs, and the President of the College as a member, emeritus or emerita, of the Rhodes College community. If the Faculty Governance Committee approves the recommendation, the recommendation is then forwarded to the Executive Committee of the Board of Trustees. If the Executive Committee of the Board of Trustees approves the recommendation, then the President is authorized to announce the designation.

The person will be listed in the official record of the College – The Rhodes College Catalogue – by name, title of appointment with the emeritus/emerita designation, the date of the designation, and the appropriate academic credentials. This listing will continue as an official part of the College’s record as long as the person lives.

Certain Faculty appointments may be designated visiting, adjunct, distinguished, or distinguished service as appropriate. In each case the appointment is made on a term contract:

• Visiting — a full-time but temporary appointment of an academic officer who plans to return to a position elsewhere.
• Adjunct — usually a part-time appointment of a professional who is maintaining another professional career while teaching at Rhodes. There is no expectation of tenure.
• Distinguished — usually applied to a particularly accomplished senior visiting professor.
• Distinguished Adjunct — usually applied to a particularly accomplished adjunct professor.
• Distinguished Service — a non-tenure track appointment usually made in recognition of long service and outstanding accomplishments.

Distinguished Service: In exceptional cases, full-time, non-tenure-track members of the Rhodes Faculty are eligible to be nominated to assume the title of Distinguished Service Professor provided they have served with unusual distinction at Rhodes and/or elsewhere for at least fifteen years and have achieved widespread recognition in their designated area(s) of service. The title of Distinguished Service Professor is unique within the system of faculty positions at Rhodes, lying outside the sequence of promotions available to both tenure-track and non-tenure-track faculty. It is intended to recognize extraordinary work to advance the mission of Rhodes College, or work done during extended service at another institution of learning, or in a career outside of education which has prepared the holder in a unique way to join a Department or Program at Rhodes. The conferring of this title would recognize achievement outside of or well beyond the standard of Excellence in the area of Service to the College which the Handbook describes. Regular Service to the College at that level over the course of fifteen years would typically not qualify faculty for nomination. Rather, the title would honor a nominee who has undertaken a truly extraordinary pattern of activity, at Rhodes or in some other setting. Rhodes faculty who have committed many years to service in an area that extends beyond typical patterns might be recognized with this title for their long-term achievement. Persons joining the Rhodes faculty might be recognized with this title for career achievement in, for example, research, government, the arts, or community service.

Nominations for the title of Distinguished Service Professor should be directed to the Faculty Governance Committee, with a copy to the Vice President for Academic Affairs. In order to be considered, nominees will need a minimum of three letters of support from senior members of the Rhodes faculty, one from a member outside the home department or program, and to submit a portfolio documenting relevant achievements over the course of their career. The Faculty Governance Committee will make a recommendation to the Vice President for Academic Affairs, who will undertake an independent evaluation and confer with the President on the matter before arriving at a decision as to the awarding of title.

A. Types of Contracts. At the time of initial appointment, and, for continuing Faculty on or about March 15 of each year, each officer of instruction will be provided with a written contract of employment for the following academic session. The service year for Faculty is normally defined as the period from the first Faculty meeting before the opening of the fall semester through the Monday following commencement in the subsequent spring semester. However, in programs with required summer enrollment, faculty may be hired on 12-month contracts. This contract will specify rank and salary, the nature of the contract and any special terms and conditions of employment. Rhodes has three types of contracts with officers of instruction. They are:

1. Term Contract. This type of contract is made on an annual basis, or on an academic term basis, or on a contingent basis (for example, contingent upon a sufficient number of students enrolling for a proposed course). Beyond the limits set in the document, there is no assumption of further employment. All part-time and nontenure track officers of instruction receive term contracts. Officers of instruction on term contracts and Distinguished Service professors may serve for more than seven years without the granting of tenure.

2. Probationary Contract. This type of contract is made on an annual basis and is a tenure-track appointment in a particular department. An officer of instruction may not work more than seven years under such contracts unless by mutual agreement between the College and the Faculty member the normal progress towards a review for tenure is interrupted. Those full-time officers of instruction who do not have the Ph.D. or appropriate terminal degree may not work for more than two years under such contracts. (Exceptions can be made in rare cases, which the President must be prepared to defend before the Board of Trustees.) The College is under no obligation to renew probationary appointments nor does it guarantee that a tenurable position will be available at the time a probationary Faculty member is considered for tenure. (See Section X, Non-Reappointment.)

3. Contract With Tenure. Appointments with tenure are made in a particular department. Faculty holding tenure receive a contract each year which reflects changes in rank, salary, special terms, or in the provisions of “The Statement of Policies and Procedures in Regard to Faculty.” Tenure contracts can be abrogated in circumstances described in Section XII.

B. Faculty Salary. Rhodes does not follow a binding formula either in negotiating initial salaries or in granting increments.

Salary recommendations are formulated by the Vice President for Academic Affairs in consultation with department chairs and made to the President. Salary increments awarded by the President are reflected in each year’s contract letters. Salary adjustments may be made to recognize merit, as part of a general salary increase, to remove inequities, or to recognize promotion in rank. The Vice President for Academic Affairs shall offer any Faculty member who requests it an explanation of the basis on which his or her salary increment, or lack of it, was determined.

Remuneration of part-time Faculty will generally be determined based on the number of four-credit courses or equivalents being taught and the academic qualifications of the faculty member. As full-time Faculty remuneration rises, the normal rate for teaching a four-credit course on a part-time basis may be adjusted.

Ordinarily, salary levels of tenured Faculty members will not be individually reduced, except for cases described elsewhere herein. However, in the event of financial exigency, general reduction of salaries or the reduction of some but not all salaries may be necessary.

C. Merit Salary Increments. Annual evaluation of each continuing Faculty member may lead to a salary increment that recognizes teaching, research and/or creative activities, and/or service. The evaluation system described in Section VIII recognizes five levels of performance. In general, consideration for a merit increase will require a minimum ranking of “excellent” in all these areas. (A discussion of these ratings is given in Section VIII.)

The relative weight assigned each area for purposes of merit salary adjustment is 40% for teaching, 35% for research and/or creative activities, and 25% for service.

D. Fringe Benefits. The College provides a retirement plan to which the College contributes. A Faculty member’s equity in this plan is fully vested in the Faculty member. Other benefits such as medical, life and disability insurance, and tuition benefits are established by the Board of Trustees on the recommendation of the President. (See the College Handbook for a description of current benefits.)

E. Salary Retrenchment. If there is a significant unfavorable deviation from the annual budget of the College in any given year, as determined by the President, the President may announce a state of retrenchment and initiate a new budgeting process to produce a balanced budget. The new budget will go through all the steps of the regular annual budget building process to allow adequate opportunity for input from all segments of the College community. Under such circumstances, a general reduction of salaries or the reduction of some but not all salaries may be necessary.

Every officer of instruction shall support the integrity, good reputation, general welfare, and stated purpose and mission of the College. Every officer of instruction is expected to maintain the highest personal standards of character and conduct.

Faculty members must abide by the highest standards of integrity in their own duties and responsibilities. Though members of the Faculty are not subject to the procedures identified and administered within the Honor Code for students at the College, it is expected that members of the Faculty will abide by the provisions of that code of ethics in their dealings with persons at the College.

In addition, Faculty members must support the Honor Code by reporting to the Honor Council cases of student plagiarism, cheating, and lying in official matters, and report to the Honor Council cases of failure by other students to report such matters. If a Faculty member is unsure whether a situation needs to be reported, they are to consult with either the Honor Council President or the College’s Judicial Officer for the Honor Council.

Faculty members have the responsibility to communicate the Honor Code to students and to make clear the Code’s application to class assignments. Where appropriate, a clear definition of plagiarism should be presented and the extent of allowable collaboration among students in fulfilling academic requirements should be carefully explained. Faculty members are to make clear what materials may and may not be used in preparing graded work. Faculty members require each student to “pledge” all work expected to be governed by the provisions of the Honor Code.

In reporting a suspected violation of the Honor Code it is appropriate to consult with the chair of the department. It is also appropriate to inform the student of your concern about irregularities in the work submitted, on the assumption that the student may be able to explain them and therefore remove suspicions about the nature of the work.

The service year for Faculty is defined as the period from the first Faculty meeting before the opening of the fall semester through the Monday following commencement in the following spring semester. During the period of their contract, members of the Faculty must be on campus for a substantial part of each class day. When professional or personal affairs require that a Faculty member be away from campus for 1-5 class days, the department chair must be notified and must approve the absence. For longer absences the approval of the Vice President for Academic Affairs and the President must also be obtained. Normally, full time Faculty members in tenured or tenure-track positions teach five four-credit courses or their equivalent, and supervise a number of independent projects, or their equivalent, and participate in departmentally-sponsored academic programs such as senior seminars in each year. Full time Faculty members on term appointments normally teach six four-credit courses or their equivalent.

Officers of instruction contribute in many other ways to the education of their students, to the welfare of their department and programs, and to the general welfare of the College. Some of these are:

1. Leading directed inquiries, conducting tutorials and independent study projects, and supervising honors projects.
2. Keeping adequate office hours at times reasonably accessible to students.
3. Advising students—both general academic advising and the advising of majors.
4. Helping to maintain a vital curriculum by revision of existing courses and inauguration of new courses.
5. Aiding students who seek admission to professional and graduate schools through advice and preparation of letters of reference.
6. Carrying a fair share of the administrative work of departments, the Faculty, and the College.
7. Attending all Faculty meetings and convocations.
8. Maintaining and building library and other academic resources.
9. Maintaining an active, involved professional life including scholarly work or artistic production.

A more detailed narrative description of the work of the Faculty comprises Section VII of this document.

Part-time officers of instruction are appointed for the teaching of a designated number of courses. Except for such contact with students outside of class time as needed for effective teaching, a part-time position does not carry the other obligations that are normal to full time positions. However, part-time Faculty who are extended Faculty membership assume these duties in proportion to the fraction of full time that they teach. (See Section II A.)

An officer of instruction shall not substitute nor appoint anyone to perform his or her College duties without the approval, in each case, of the Vice President for Academic Affairs.

An officer of instruction, in accepting an appointment from the College, thereby agrees to conform to all regulations adopted by the Faculty, by the President, and by the Board of Trustees.

As an important corollary to the evaluation system, Faculty members each year make plans for professional growth as teachers and scholars. These plans, formulated with the department chair and, where appropriate, the Vice President for Academic Affairs, should make use of both College supported and outside professional development activities.

When, as the result of annual evaluation, a Faculty member is found to have serious deficiencies, a more formal plan for improvement will be developed with the help of the department chair and the Vice President for Academic Affairs. The plan shall list the improvements to be made, and over what time period. It will indicate how improvements are to be assessed and the consequences of failure to improve. If a plan cannot be agreed upon, the views of the Faculty member, the department chair and the Vice President for Academic Affairs will be forwarded to the President for final decision.

At the end of each calendar year Faculty members make a formal report to the Office of Academic Affairs concerning scholarly publications and other professional activities. This report includes an updated curriculum vitae.

Sections VII and VIII of this document contain important information about the work of the Faculty in scholarship and the standards that are applied.

Faculty who wish to accept outside employment during the academic year must make a written request to the Vice President for Academic Affairs for approval. The Vice President for Academic Affairs will grant permission for outside employment only when it will not interfere with College duties, will not create a conflict of interest for the Faculty member’s primary obligations to the College, and when it is consistent with Rhodes values and goals. If outside employment involves the use of College materials or facilities this must be made clear in the request for approval, and reasonable compensation must be made for this use. Faculty granted permission for such employment must make an annual report to the Vice President for Academic Affairs concerning its nature and extent.

As an educational institution Rhodes College is committed to maintaining an environment in which its Faculty members, students, administrators, and staff members are safe, can be trusted and count on others to be trustworthy, and receive and extend to others respect as human persons. Indeed, mutual respect among Faculty members, students and administrators is an essential ingredient in the educational process and the greatest care must be taken that it not in any way be eroded.

Virtually all Faculty members, administrators, and staff members are, or can appear to be, in a position to exercise power or authority, directly or indirectly, over students, whether or not an individual student is enrolled in their classes, are subject to their direct supervision, or have some form of business to transact with offices at the College. Many students are at a stage in their development when they may be particularly vulnerable to the influence of Faculty members, administrators, and staff members who are in positions where they can affect the terms and conditions of a student’s standing at the College.

If a student consents to a romantic relationship with a Faculty member, administrator, or staff member, the existence of such a relationship could have unintended adverse effects on the educational environment of the College. In some cases such a relationship can end unhappily or become problematic, resulting in charges of sexual harassment, and even physical or psychological abuse.

Some circumstances in which Faculty members, administrators, staff members work with students can have the potential for the exploitation of students. For example, a work-study student might be asked to perform services that go beyond the terms and conditions of the work-study assignment, e.g. child care, personal business transactions. In such cases, it must be clear that the student may decline such personal invitations without any adverse consequences. It may be that a work-study student will respond to an invitation to provide personal assistance, but this relationship must be one in which the student volunteers, is offered and accepts a fair wage for services, and one which bears no relationship to the continuation of or the evaluation of the work-study assignment.

Because of the commitment to maintaining an environment that supports our educational goals Rhodes College prohibits romantic, sexual, and exploitative relationships between college employees and students. In the event that any such relationship is reported and confirmed the college employee is subject to employee disciplinary procedures up to and including termination in the case of administrators and staff members, or dismissal for cause in the case of Faculty members. The policies and procedures for employee disciplinary procedures and dismissal for cause, as outlined in the College Handbook, apply in all such cases.

There are exceptional circumstances in which the spouse or partner of a college employee is a student at the College. This fraternization policy does not apply in such circumstances. The Vice President for Academic Affairs, in consultation with the Chief Human Resources Officer, is the administrative officer who determines whether an exceptional circumstance applies.

Rhodes College prohibits and will not tolerate sexual harassment. Sexual harassment is reprehensible. It violates the personal rights, growth, and integrity of the victim. It is especially damaging when it involves exploitation of the relationship between Faculty members or administrators on the one hand and students on the other or between superiors and subordinates of any kind. When the authority and power inherent in such relationships is abused, there is damage not only to individual victims but also to the educational climate of the College.

The free search for truth and its free exposition are at the heart of a Rhodes education. Academic freedom protects this process by granting Faculty members freedom of inquiry and expression while defining the special responsibilities that accompany them.

Officers of instruction shall have the freedom to determine, consistent with each course’s description, the specific content of the courses they teach. They have the responsibility to avoid departing from their areas of competence or devoting time to material extraneous to the subject matter of the course.

Officers of instruction shall have full freedom in carrying out their research and in publication of the results, consistent with the performance of their other academic duties. Research or consulting for pecuniary return may be undertaken only with the approval of the Vice President for Academic Affairs.

When officers of instruction speak or write as citizens or as members of a learned profession they shall be free of institutional restraints. While they may identify themselves as Rhodes Faculty, they have the concurrent obligation to state that they are not speaking for the College. The public statements of officers of instruction should be accurate, and should show restraint and respect for the opinions of others.

The College seeks to provide a liberal arts and sciences curriculum that is imaginative and evolving: imaginative, in that it makes an appeal to faculty members and students alike to engage in study that will take both beyond their current understanding; and, evolving, in that it is structured and regularly assessed to achieve the best environment in which the intellectual advancement of both faculty and students can be pursued and realized.

Such a curriculum is possible only if there is effective teaching of students, active scholarly engagement within academic disciplines, and conscientious service to the College community on the part of all faculty members of the College. These three activities are the basis of performance evaluations of faculty members at the College.

Effective teachers are enthusiastic about their disciplines and imaginative in presenting them. They work confidently in their discipline, and they are able to make sound professional judgments about it. They demonstrate their command of the discipline by presenting it systematically and coherently, by making important connections between their discipline and other related fields of study, and by actively probing the boundaries and limitations of their disciplines.

Effective teachers are committed to the intellectual development of their students. They accomplish this by encouraging the maturing of critical faculties, the cultivation of analytic and synthetic abilities, and the focusing of creative imagination. Effective teachers are attentive to the progress of each of their students and encourage each student to become seriously engaged with the subject of the course.

Effective teachers design and teach courses that challenge students to grow intellectually. They are demanding, set high standards, and make their learning objectives clear. Effective teachers seek to develop and improve their pedagogical skills.

Faculty work that is pedagogical is considered to be teaching. Mentoring student scholarship is also considered to be teaching. If such collaborative work results in a peer-reviewed publication, the outcome is considered to be scholarship.

Faculty members at Rhodes are actively engaged with their academic fields as scholars and artists. They are confident exponents and interpreters in the practice of their disciplines. They have an abiding interest in and passion for their discipline.

Faculty scholarship is the development and use of skills and competencies, appropriate to one’s discipline, to address issues within and challenges of the discipline and to enrich the discipline by informed, critical study or performance. The expectation is that these skills and competencies will advance the discipline.

Faculty scholarship includes both research and creative activities. Faculty research refers to original scholarly activity that is intended principally for academic and professional peers and is subject to a peer review process. This research should culminate, where appropriate, in peer-reviewed conference presentations, articles, essays, monographs, or books. Such research may also generate external grants. Creative activity refers to work that reflects an active engagement with the discipline typically intended for an audience not limited to academic peers. Typical forms of creative activity are works of art, productions, compositions, and performances.

Some faculty investigate interdisciplinary research questions or explore issues in fields outside their discipline. Such work is expected to undergo the same rigorous peer review processes as work within a traditional discipline.

Invited expert testimony, consultant assignments, book reviews, participation in professional meetings in roles such as panel chair or discussant, non-peer-reviewed publications, review work for journals or book publishers, and outside reviews of the work of Faculty colleagues comprise professional citizenship activities. These activities are contributions to one’s discipline and valued as part of a faculty member’s professional life at, and on behalf of, the College, but do not substitute for faculty research/creative activity.

Academic Departments work with the Office of Academic Affairs to develop expectations for the assessment of scholarship, making clear how the forms of research/creative activity, appropriate to that discipline, are weighted in the evaluation process. The Office of Academic Affairs, in consultation with department chairs, regularly reviews  these departmental expectations in order to maintain a level of parity across departments.

Members of the Faculty serve Rhodes in many ways that go beyond formal teaching duties and scholarship. Faculty service is essential in creating the community within which our shared work is best accomplished.

Student advising is a critically important service activity. Faculty members will serve as advisors to students majoring in their disciplines, but will also regularly serve as advisors to entering first year students. Faculty members affilitated with master's programs will also serve as advisors for students in the relevant graduate programs. Academic advising includes the routine activities of meeting with advisees, monitoring academic progress, reviewing course grades, responding to notices of academic warning, making registration materials available, and reviewing petitions concerning academic regulations. However, academic advising is also an opportunity to help a student realize his/her academic potential and to utilize the resources at the College to assist a student in envisioning and shaping his/her longer term goals, and to counsel and nurture a student as he/she confronts the inevitable challenges of a collegiate environment.

The Faculty of Rhodes is given and carries out a major role in the planning and implementation of the academic program of the College. Faculty members must assume obligations within the governance structure of the College by attending Faculty meetings, serving on and providing leadership on committees, carrying out departmental functions, and other special assignments that work to ensure that the College provides an excellent educational program for its students. Faculty members demonstrate support for the intellectual life of the College by organizing and participating in events, such as guest lectures, symposia, workshops and seminars. In addition, faculty members serve in ways that develop and nurture a viable Faculty cohort, such as recruitment of Faculty and reviews of colleagues.

The College is an institution whose mission includes service within the greater Memphis community. The College, therefore, values the services rendered by faculty members who apply their professional skills to work that benefits the larger community.

Section VIII establishes the standards of evaluation assigned to each of the three areas of faculty work. Assessments using these standards provide the basis for decisions on reappointment, tenure, and promotion. The College expects a record of excellence in all three areas of assessment, except in instances of non-tenure track faculty seeking promotions (indicated below). Candidates for tenure and/or promotion must meet the standard in each area, commensurate with appointment.

Candidates who reside and teach primarily in departments are evaluated by senior departmental faculty in accordance with procedures in Section IX. For candidates who reside in departments but have interdisciplinary research and/or creative activity programs and/or significant interdisciplinary teaching and service commitments, the Vice President for Academic Affairs in consultation with the department and program Chairs, will appoint senior colleagues from the department and the program to evaluate candidates. For candidates with primary appointments in interdisciplinary programs, the Vice President for Academic Affairs in consultation with the program Chair will appoint senior colleagues from the interdisciplinary program to evaluate candidates. These procedures are also described in Section IX.

If evaluation criteria are changed within the two-year period prior to tenure evaluation, a tenure candidate may, at his or her request, be evaluated by the criteria in effect during the year of the candidate’s fourth-year review. Such a request must be submitted to the Vice President for Academic Affairs in writing as a part of the tenure application.

Teaching: Effective teaching is central to Rhodes’ educational mission. Teaching includes traditional classroom and laboratory instruction (disciplinary or interdisciplinary), leading internships or fellowships, and supervising directed inquiries, honors projects and/or other forms of student research or creative activity. In evaluating performance in this area, the following standards apply:

• Faculty members sustain in their classes a consistent engagement with matters of substance and importance in the subject area.
• Faculty members demonstrate command of the subject material and the critical issues surrounding it.
• Faculty members construct syllabi that make grading policies and course goals clear.
• Faculty members design student assignments and projects that demonstrably advance course goals.
• Faculty members organize courses in ways that reflect an effective pedagogy, and result in successful educational outcomes.
• Faculty members develop in students the ability to think critically on the subjects studied and to communicate effectively about these subjects.

Rhodes College evaluates teaching by gathering input from students, colleagues, a committee whose charge is specifically to review a faculty member’s in-class performance and teaching materials, as well as by members of the Tenure and Promotion Committee that have access to all of the materials relevant to a particular faculty member’s promotion.

Scholarship: Appointment to the Rhodes Faculty is made with the expectation that faculty members bring with them a commitment to advancing scholarly knowledge and/or producing creative works in their field. In evaluating a faculty member’s performance in this area, the following general standards apply:

• Faculty members demonstrate their ongoing engagement in original research and/or creative activity by the regular appearance of original scholarly work which includes peer-reviewed products, juried exhibits/performances, and products that have undergone rigorous scholarly evaluation appropriate to the discipline.
• Each academic department of the College provides a Statement of Expectations that articulates in more detail the specifics of each discipline with regard to appropriate forms of peer review and scholarly products. These expectations should consider related interdisciplinary research and/or creative activity programs. The departmental expectations are subject to review and approval by the Office of Academic Affairs.
• Each interdisciplinary program with tenure-track faculty appointments provides a Statement of Expectations that articulates in more detail the specifics of what constitutes appropriate forms of peer review and scholarly products. The program expectations are subject to review and approval by the Office of Academic Affairs.
• The quality and the quantity of juried or peer-reviewed work are both important indicators of achievement in scholarship. The quality and quantity of a candidate’s scholarly work is evaluated internally by departmental and/or program colleagues and externally by peer evaluators within the candidate’s discipline(s). The Tenure and Promotion Committee, drawn from representatives of all College divisions, gathers all of these materials together, reviews and evaluates them, and forwards a recommendation to the Vice President for Academic Affairs. The Vice President for Academic Affairs considers all of these evaluations in determining a final recommendation to the President of the College.
• Faculty members, particularly those at the rank of associate professor and professor, are expected to participate in the activities associated with effective professional citizenship, such as reviewing articles and manuscripts for scholarly publications, organizing conferences and panels, serving as a commentator on a scholarly panel, delivering invited talks, taking on leadership roles within professional organizations, and the like. While not a substitute for the appearance of scholarly work as defined above, these activities provide a means by which scholars remain actively involved in their scholarly communities as well as engaged and up to date in their own scholarship.

Service: Effective professional service involves contributing to the operation and welfare of the College, the departmental and/or program, and the larger community. The operation and welfare of the College involve a number of important responsibilities invested in the Faculty. The governance structure of the College serves to distribute these collegial duties in a fair and effective manner. Normally, major leadership responsibilities (such as chairing standing committees, academic departments, or academic programs) should be assigned to senior faculty members. In evaluating a faculty member’s service, the following standards apply:

• A faculty member is an effective advisor to students and regularly advises both incoming students – through the students’ declaration of major – and continuing students within the major. Aiding students who seek post-graduate scholarships and/or admission to professional and graduate schools by providing counsel and, where appropriate, preparing letters of reference is also expected. A faculty member’s work as an advisor is assessed by the Tenure and Promotion Committee using a student survey of all of a faculty member’s advisees, past and current.
• Faculty members participate in the administrative work of their departmental and/or program. This work includes participating in departmental and/or program meetings, faculty development and evaluation activities, curriculum reviews, and implementation of curriculum changes; overseeing library and other academic resources; aiding in the recruitment of students and new faculty; and supporting departmental and/or program co-curricular activities. Departmental and/or programcolleagues are expected to include in their letters to the Tenure and Promotion Committee their assessment of a candidate’s contributions to the work of the departmental and/or program.
• Faculty members participate in the governance of the Faculty and the College. Faculty members are expected to serve the College through such channels as membership on standing committees of the Faculty, administrative committees of the College or Board of Trustees, ad hoc committees or task forces, engaging in and/or providing leadership for appropriate co-curricular activities, and/or activities that develop and sustain the College’s connections to external communities. Faculty members are also expected to work with other departments to help with faculty recruitment, development, and evaluation. The Tenure and Promotion Committee relies in this case on the evaluation of a candidate’s contributions in service by colleagues and College staff members who have served with the candidate during the probationary period.

Effective service means not only becoming a member of one or more of the many committees on campus, but also participating in a significant and effective way. As such, faculty members are expected to work productively and respectfully with students, staff, and colleagues in both the department and the College. Tolerance for differing points of view and the capacity to give civil expression to one′s own position are highly prized. Evidence of such collegiality in the past and the prospect of continuing collegiality are thus important factors in decisions about reappointment, promotion, and tenure.

Levels of assessment: As noted above, the College expects a record of excellence in all three areas of assessment. Faculty work is assessed as either meeting or not meeting the high standards expected by the College. In the second- and fourth-year reviews particular attention will be paid to the trajectory of work exhibited by the probationary faculty member with an eye towards the level of achievement necessary for a successful sixth-year review.

Contributions to the tenure decision are made by students, faculty colleagues, outside evaluators, the Vice President for Academic Affairs, and the President of the College. A decision to recommend tenure remains a matter of judgment by the relevant individuals at the College, based on their reading of the evidence and projection of the candidate′s future performance. The recommendation is reached after careful attention to the procedures authorized in Processes and Procedures to be followed in the Evaluation of a Member of the Faculty (Section IX).

The importance of the three areas of the work of the Faculty: All faculty members are required to be engaged in teaching, research/creative activity, and service throughout their career at the College. Care should be taken by the faculty member and those in academic administrative positions to ensure that no one component threatens to compromise a faculty member’s overall performance over extended periods of time.

The College therefore affirms the following:

During the probationary years (normally, the first year through the sixth year of service to the College): The focus at this stage should be on a faculty member’s work as a teacher and scholar/artist – on becoming skilled in the classroom and established as an authoritative contributor to one’s discipline. Service to the College is not a substitute for meeting the standard in teaching and in research and/or creative activity, so care should be taken to ensure that a probationary faculty member’s service involvements do not interfere with his or her development as a teacher and scholar/artist. Service activities early in a faculty member’s career should focus on developing skills and competency as an advisor to students and as a departmental and/or program colleague. After a successful fourth year review, service should normally expand to include work on college-wide committees and/or on campus-wide initiatives.

Following the probationary years (normally, the seventh year of service until retirement): Becoming a senior member of the Faculty entails assuming a more prominent role in faculty governance (e.g., by serving as department or program chair, providing effective service and leadership on college-wide faculty committees or task forces, initiating curricular reform or program development).

Concentrated efforts in pedagogical and/or curricular development may take away time from research/creative activity and service. The awarding of a major grant may involve a reduction in teaching load and in service commitments for the grant period. While such shifts are appropriate, they should be carefully monitored. The post-tenure evaluation cycle provides room for such shifts while also monitoring them to prevent more extensive involvement in one area from compromising a faculty member’s performance in other areas.

Normally, heavy service commitments should not last longer than six consecutive years in order to ensure that every faculty member remains an active and energized teacher and scholar. Care should be taken by each faculty member and those in academic administrative positions to ensure a profile for each faculty member that is in keeping with the College’s standards. Ideally, the equitable distribution of workload across the Faculty is done with the intention of making possible this profile.

Promotion of non-tenure track faculty: In rare circumstances, long-term, full-time, non-tenure track faculty holding the rank of Assistant Professor may seek promotion to the associate level. Such promotion may be sought in the tenth year, normally after three successful tri-annual reviews, commensurate with contractual obligations. Candidates will be assessed on the same teaching and service standards as tenure-track faculty.

The work of the Faculty is outlined in Section VII. This work is expected to be done at a level of accomplishment that meets or exceeds the standard of excellence set by the College as detailed in Section VIII above. This section of the “Statement of Policies and Procedures in regard to Faculty” is a compilation of the procedures that govern the collection of information about the performance of a faculty member. It identifies those persons, committees, and administrative officers involved in the task of making assessments.

Assessments of Faculty occur periodically, based on the standing of a member of the Faculty. Probationary members of the Faculty undergo reviews at the Department/program level (A below), in their second year (B below), in their fourth year (C below) and in their sixth year (D below) of appointment. These reviews focus on progress towards and eligibility for a contract with tenure in the seventh year of appointment. Promotion to the rank of Associate Professor normally coincides with the awarding of tenure. Subsequent to the granting of a contract with tenure, members of the Faculty are reviewed every six years (E below). A special review applies to those members of the Faculty who are eligible and apply for promotion to the rank of Professor (F below).

Input into the assessment processes includes evaluations by students, by colleagues both within and from outside the department/program of the faculty member, and in some cases by faculty members at other institutions within the discipline of the faculty member.

Evaluation by students is achieved in two ways:

1. Near the end of a course, a college-wide evaluation instrument, approved by the Faculty and the Vice President for Academic Affairs, is administered.
2. Questionnaires are distributed in support of the fourth- and sixth-year reviews and in support of the review for promotion to Full Professor.

The college-wide student evaluations are administered in all courses taught by probationary faculty members and part-time officers of instruction, and in at least one course taught each semester by each tenured faculty member. In the latter case, evaluations should be administered to ensure that the variety of courses taught by each tenured faculty member is represented.

For each of the reviews outlined below, the special obligations of colleagues for assessments are noted. Colleague evaluations from within or beyond the Rhodes Faculty may be requested at any time should the department and/or program Chair(s) and the Vice President for Academic Affairs deem it necessary.

A shift in curricular requirements or a substantial change in enrollment patterns may make it necessary to change the definition of a position in the Faculty from tenure-track to temporary or to eliminate the position entirely. The tenure-track member of the Faculty in such a position will be informed about the possibility of a change in status as early as is reasonably possible. Reappointment or tenure may be denied if such shifts have reduced the need for a permanent position in the department/program of the faculty member.

Terms and definitions that apply to section IX:

Candidate – Any faculty member undergoing an evaluation.

CV – A faculty member’s CV may be disciplinarily specific but for evaluative purposes should include at a minimum all professional work accomplished by the faculty member and all records of service to the College and community.

Portfolio – For purposes of evaluation a portfolio consists of a current CV, annual Position Responsibility Statement(s) (PRS), a list of courses taught during the evaluation period, syllabi for each of these courses, and samples of assigned work and exams. Copies of all scholarly achievements (e.g., published work, sound recordings, images of artwork, etc.) should be included in the portfolio. The portfolio also includes a narrative statement (normally three-five double-spaced, pages) that discusses the faculty member’s performance and trajectory in the areas of teaching, scholarship, and service. Examples of types of information to discuss include: a description of teaching philosophy as it relates to courses taught during this period, a description of the feedback given to students on graded assignments, additional teaching experiences, new course development, major changes to existing courses, any initiatives taken to improve teaching, a description of scholarship that has been completed or published during the review period as well as a trajectory for ongoing scholarly activities, and a description of forms of service to the department/program, College, and/or to the wider community, and any other forms of professional activity within the faculty member’s academic discipline. Candidates should update their portfolios annually; these portfolios will be assessed at all stages of review during the probationary period and post-tenure reviews.

Position Responsibility Statement (PRS) - This is a narrative description of faculty responsibilities in teaching, scholarship, and institutional service created in collaboration by the faculty member, Department Chair, Program Chair, and Vice President for Academic Affairs. The PRS specifies teaching commitments to departments and programs, scholarship expectations for the candidate, advising and general service expectations, and evaluation personnel.

Scholarship –research and/or creative activity outcomes as specified in department or program scholarship expectations. All department and program scholarship expectations are approved by the Vice President for Academic Affairs. Each candidate’s scholarship or creative activity expectations are specified in the PRS.

Senior member of the department/program – A full-time, tenured faculty member in the department/program.

Teaching Evaluation Committee – A group of three or four colleagues appointed during the candidate’s first term with special responsibility for assessing classroom teaching during the second-, fourth-, and sixth-year reviews. The members of this committee will normally continue to serve during the candidate’s entire probationary period. Normally, these committees are comprised of the Chair of the faculty member’s home department or home program and two senior faculty members. For faculty with significant interdisciplinary teaching commitments, the Chair of the program normally will serve on the Teaching Evaluation Committee. In the sixth-year review, this group also includes a senior faculty member who does not reside in the candidate’s department or program. Where fewer than three senior members of the department/program exist, the Vice President for Academic Affairs, in consultation with the Chair of the Department/Program, will appoint ad hoc members to fill out these committees as necessary. Committee membership for all Teaching Evaluation Committees leading up to tenure will be specified in the PRS in the first year of the candidate’s appointment.

Tenure-track faculty member – A faculty member in her or his first six years of service at the College, who is on a tenure-track appointment but has not yet achieved tenure.

Special Provisions for Changes in Section IX of the “Statement of Policies and Procedures in regard to Faculty”

Modifications in the processes and procedures outlined in this section of the “Statement of Policies and Procedures in regard to Faculty” are operational matters. Modifications may be initiated by committees of the Faculty or by members of the College administration. All modifications must be approved by the Faculty and the Vice President for Academic Affairs. Modifications are then reported to the Committee of Student Learning of the Board of Trustees. The Committee may bring such matters to the attention of the Board of Trustees for further action as deemed necessary. As such, changes in this section (Section IX) fall outside the procedure for modifying the “Statement of Policies and Procedures in regard to Faculty” prescribed in Section I.

Overview: In the spring semester of years one, three, and five, tenure-track faculty will undergo reviews at the departmental/program level. These reviews are designed to ensure that, when a faculty member is not undergoing a second- or fourth-year review, or a tenure review, ongoing attention is given to the trajectory toward tenure. In the third and fifth years, it will be important to focus on any areas where suggestions for improvement were made to the faculty member in the preceding year’s review.

First-Year Review

The Process: The first-year review is conducted by the department/program Chair early in the spring semester (January) of the tenure-track faculty member’s first year of service to the College. The first-year review is formative in nature as it occurs after only one semester. The candidate will submit a portfolio according to instructions provided by the Office of Academic Affairs that includes materials on teaching, scholarship, and service. The department/program Chair (or, with the approval of the Vice President for Academic Affairs, a designated senior colleague in the department/program) will observe the candidate’s teaching during the fall semester and meet with the candidate to provide appropriate feedback. The purpose of these visits is to support and guide the candidate toward effective teaching at Rhodes. The Chair and the candidate should work together to determine the timing of class visits to help promote the candidate’s development. Additionally, the department/program Chair will review the candidate’s college-wide student evaluations and grade distributions for all classes taught during the first semester. The department/program Chair and a representative for Academic Affairs will meet with the candidate to discuss his or her progress, plans for future work, and the College’s expectations in all three areas of assessment.

Third-Year and Fifth-Year Reviews

The Process: The third-year and fifth-year reviews are conducted by the department/program Chair early in the spring semester (January) of the tenure track faculty member’s third or fifth year of service to the College, respectively. The department/program Chair reviews materials on teaching, scholarship, and service included in the candidate’s updated portfolio. The department/program Chair (or, with the approval of the Vice President for Academic Affairs, a designated senior colleague in the department/program) will observe the candidate’s teaching during the fall semester and meet with the candidate to provide appropriate feedback. The purpose of these visits is to support and guide the candidate toward effective teaching at Rhodes. The chair and the candidate should work together to determine the timing of class visits to help promote the candidate’s development. The department/program Chair will also review college-wide student evaluations and grade distributions for all classes taught during the review period. The department/program Chair determines whether progress in each category of evaluation is satisfactory or if there are areas of concern. In the third-year, the department/program Chair will also consider feedback provided to the faculty member during the second-year review and assess whether progress is being made by the candidate in any areas identified as needing improvement. In the fifth-year, feedback provided during the fourth-year review will be considered in a similar fashion. The department/program Chair then meets with the candidate to discuss the Chair’s assessment as well as the candidate’s plans for future work. If no concerns are noted, this concludes the review process.

If there are any areas of concern, the department/program Chair also schedules a meeting with the Vice President for Academic Affairs to discuss the outcome of the review. In the event of such a meeting, the department/program Chair conveys in writing the results of the evaluation (including feedback from the Vice President for Academic Affairs) to the candidate. The department/program Chair will also send a copy of this letter to the Vice President for Academic Affairs that will be maintained in the Office of Academic Affairs throughout the candidate’s tenure-track period of service to the College, and it is available to the Faculty Committee on Tenure and Promotion upon request during a sixth-year review.

Overview: A tenure-track member of the faculty undergoes a second-year review in the spring semester of the second year of the first six years of his or her appointment. As both formative and summative, this review provides feedback on progress towards a successful tenure review and identifies areas that require attention prior to a tenure review.

The Process: The second-year review is conducted very early in the spring semester (January) by the tenure-track faculty member’s department/program Chair. The candidate prepares an updated portfolio for this review. The department/program Chair reviews materials on teaching, scholarship and service included in the candidate’s portfolio. The department/program Chair (or, with the approval of the Vice President for Academic Affairs, a designated senior colleague in the department/program) will also observe three of the candidate’s classes in the fall semester prior to the review. Additionally, the department/program Chair will review the candidate’s college-wide student evaluations and grade distributions for all classes taught during the review period.

The department Chair will receive input from at least two senior members of the department. The program Chair will receive input from at least two senior faculty members in the program or faculty designated by the Vice President for Academic Affairs. Faculty housed in departments but engaged in significant interdisciplinary scholarship or significant and regular teaching in interdisciplinary programs will be evaluated by the department Chair and two other senior faculty, normally the program Chair and a senior faculty member designated by the Vice President for Academic Affairs in consultation with the Chairs. These senior members of the department and/or program will be identified in the fall of the candidate’s first year of service at the College and designated in the PRS. When possible, the senior faculty who participate in the second-year review will remain in place through the tenure review in order to ensure continuity of observation and feedback.

Input from these senior department/program members will be informed by observations from class visits during the previous two semesters (at least one class session during the first year and one class session in the fall semester of the second year) and a review of the candidate’s portfolio. These senior members of the department/program will meet as a group with the department/program Chair to discuss their observations and findings.

The department/program Chair then makes a determination regarding the candidate’s progress in each category of evaluation using the description of performance described in the previous section (Section VIII). The department/program Chair then meets with the candidate to discuss the Chair’s assessment as well as the candidate’s plans for future work.

The department/program Chair’s written assessment of the candidate’s progress in each category of evaluation (including the reasons for the assessments) and the candidate’s portfolio are sent to the Vice President for Academic Affairs, usually late in January. The Vice President for Academic Affairs will have an initial meeting with the department/program Chair to discuss the Chair’s assessment and the Vice President’s assessment of the candidate’s progress. This is followed by a meeting with the Vice President for Academic Affairs, the department/program Chair, and the candidate to discuss his or her progress. The Vice President for Academic Affairs will provide a written summary of the outcome of the review focusing on the candidate’s progress in the areas of teaching, scholarship, and service with recommendations for improvement when necessary. If progress is deemed to be insufficient, the Vice President for Academic Affairs will communicate this in the letter as well. This letter will become part of the official record examined during the fourth-year review. After the meeting with the Vice President for Academic Affairs, the department/program Chair will have a follow-up meeting with the candidate to discuss the feedback from the review process and to assist the candidate in identifying strategies to foster an ongoing positive trajectory in each category of evaluation.

In the case of departments/programs with fewer than three senior faculty members, an ad hoc department/program committee for a tenure-track faculty member will be constituted in the first year and specified in the PRS. One or two ad hoc department/program committee members will be designated by the Vice President for Academic Affairs in consultation with the senior members of the candidate’s department/program and the candidate. Ad hoc department/program committee members will be expected to engage in regular classroom visitations, as well as have a conversation with the candidate concerning teaching and scholarship expectations. Normally, the ad hoc department/program committee will continue to evaluate the candidate through the tenure review, even if the department/program grows to more than three senior members between the candidate’s first and sixth year. This will help to ensure continuity of observation and feedback throughout the probationary period.

Overview: The fourth-year review is both formative and summative. It considers the same three areas of faculty performance as the second-year review, but is broader in scope in that all tenured faculty participating in the review provide a written assessment of a candidate. The fourth-year review is particularly crucial for determining the likelihood of success during the tenure review for a faculty member at the College. The fourth-year review is also done with attention given to the College’s needs for the position in the faculty member’s discipline.

Faculty housed in academic departments are evaluated at the fourth year by all tenured departmental faculty members. 

Faculty housed in interdisciplinary programs are evaluated by a committee of senior faculty constituted in the first year by the Vice President for Academic Affairs in consultation with the program Chair and specified in the PRS. Normally, this committee will include the program Chair and two senior faculty involved in the candidate’s second-year review, and possibly other senior faculty with appropriate expertise. When possible, this review committee will stay in place through the candidate’s sixth-year in order to ensure continuity of observation and feedback.

Faculty housed in departments but engaged in significant interdisciplinary scholarship or have significant and regular teaching commitments to interdisciplinary programs will be evaluated by all tenured departmental faculty members, but in these cases the review will normally include the Chair of the relevant interdisciplinary program and/or other tenured program faculty with relevant scholarship and/or teaching expertise. The decision to expand the review beyond the department will be made by the Vice President for Academic Affairs in consultation with the department Chair, the program Chair, and the candidate and will be specified in the PRS. Normally this decision will be made in the first year, and when possible, the department and program faculty for the fourth-year review will remain in place through the tenure review in order to ensure continuity of observation and feedback.

The fourth-year review takes place in the fall semester of the candidate’s fourth year of service to the College. The review process is initiated in August, with data collection early in the fall semester. It concludes in December with a meeting attended by the candidate, department/program Chair, and Vice President for Academic Affairs.

The Process: By the first day of the fall semester, the candidate will submit an updated portfolio according to instructions provided by the Office of Academic Affairs. During the fall semester, the Office of Academic Affairs will distribute questionnaires to be completed by all students who have completed a class (or classes) with the candidate and earned grades of A through D- during his or her first six semesters of teaching at the College. If the Vice President for Academic Affairs believes more information on teaching performance is needed, a representative for Academic Affairs and the department/program Chair will co-conduct interviews with selected students. The Office of Academic Affairs will also send questionnaires to all of the candidate’s advisees, and will collect copies of all of the candidate’s college-generated course evaluations.

Senior departmental/program faculty members will review the candidate’s portfolio and visit at least one class. Faculty who are members of the Teaching Evaluation Committee will visit a minimum of three classes during the first semester of the candidate’s fourth year. Senior faculty members will meet as a group with the department/program Chair to discuss the candidate’s performance in teaching, scholarship, and service over the four years, his or her suitability for renewal, and suggestions for possible improvement, where necessary. Each senior member writes a letter of his or her assessment of the candidate; this letter is submitted according to instructions provided by the Office of Academic Affairs. In addition to his or her independent assessment, the department/program Chair’s letter to the Vice President for Academic Affairs addresses any problems raised by the senior faculty members taking part in the review.

The candidate has the option of soliciting additional letters from faculty and staff members that focus on the candidate’s service performance and campus citizenship. These letters should be submitted according to instructions provided by the Office of Academic Affairs. The remainder of the review, which culminates in December, is carried out by the Vice President for Academic Affairs and the department/program Chair. A final assessment of performance in the areas of teaching, scholarship, and service is given in writing by the Vice President for Academic Affairs to the candidate at the review’s conclusion.

A faculty member not meeting the College’s standards and/or not making adequate progress toward tenure in any area of evaluation (teaching, scholarship, or service) following the fourth-year review will not have his or her contract renewed after the fifth year of appointment. This candidate does not undergo a sixth-year review. The fifth year constitutes the twelve months’ notice of non-reappointment.

The materials compiled during the fourth-year review will be maintained by the Office of Academic Affairs and will be available to the Faculty Committee on Tenure and Promotion upon request during a tenure review.

Overview: The tenure review process is a comprehensive assessment of the work of a faculty member. It is a review of the work of the candidate since the beginning of his or her appointment as well as an attempt to gauge a trajectory of the candidate’s career at the College. A candidate for tenure must hold the Ph.D. degree or other appropriate terminal degree.

The group of senior faculty who evaluate the candidate during the tenure review is constituted in parallel with the procedure for the fourth-year review. Faculty housed in academic departments are evaluated for tenure by all tenured departmental faculty members. 

Faculty housed in interdisciplinary programs are evaluated by a committee of senior faculty constituted in the first year by the Vice President for Academic Affairs in consultation with the program Chair and specified in the PRS. Normally, this committee will include the program Chair and the senior faculty involved in the candidate’s fourth-year review, and other possibly other senior faculty with appropriate expertise.

Faculty housed in departments but engaged in significant interdisciplinary scholarship or significant and regular teaching in interdisciplinary programs will be evaluated by all tenured departmental faculty members, but in these cases the review will normally include the Chair of the relevant interdisciplinary program and/or other tenured program faculty with relevant scholarship and/or teaching expertise. The decision to expand the review beyond the department will be made by the Vice President for Academic Affairs in consultation with the department Chair, the program Chair, and the candidate and will be specified in the PRS. When possible, extra-departmental faculty participating in the tenure review will include those who evaluated the candidate in the fourth-year review.

By May 31 (preceding the academic year of review), the candidate for tenure submits the names of at least six outside reviewers of professional work. At the start of the year of the review, the candidate for tenure prepares an updated portfolio, together with supplemental materials described below. The Faculty Committee on Tenure and Promotion, the candidate’s department/program Chair, and the Office of Academic Affairs then work together to gather all of the documentation required for the review. A number steps are involved in this process:

• A designated representative for Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion contact the Teaching Evaluation Committee assembled prior to the fourth-year review. Four external reviewers are secured to assist in evaluating the candidate’s scholarship. A designated Associate Dean of Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion select two outside reviewers from a list created by the candidate. The designated representative for Academic Affairs, in consultation with the Chair of the candidate’s department/program and with the Chair of the Faculty Committee on Tenure and Promotion, selects two additional reviewers. The representative for Academic Affairs contacts outside reviewers to secure their agreement to participate in the process of assessment and forwards the materials to be reviewed.
• The Chair of the Faculty Committee on Tenure and Promotion obtains a list of students taught by the candidate. These students receive a survey about the candidate’s teaching effectiveness. A similar list is prepared to include all of the advisees served by the candidate. These students will receive a survey about the candidate’s work as an advisor.
• The Chair of the Teaching Evaluation Committee convenes the committee, reviews the process of visitation, and oversees the timely preparation of letters for the Faculty Committee on Tenure and Promotion.
• The Chair of the Committee on Tenure and Promotion invites those faculty colleagues named by the candidate to submit letters of evaluation concerning service to the College.
• The Chair of the department/program reviews the process of evaluation at the departmental/program level with the senior members of the department/program early in the semester of review, and oversees the scheduling of class visits for senior faculty not appointed to the Teaching Evaluation Committee. He or she then convenes the department/program meeting to discuss the candidate’s performance at the end of the review process, and oversees the timely submission of letters for the Faculty Committee on Tenure and Promotion.

When all of the review materials have been assembled, the Faculty Committee on Tenure and Promotion evaluates the candidate’s record of teaching, scholarship, and service. Deliberation by the Tenure and Promotion Committee usually occurs late in the fall semester of the review year. This committee makes a recommendation for or against the granting of tenure to the Vice President for Academic Affairs normally by February 15. The Vice President for Academic Affairs’s review of the case is completed by early March. The Vice President for Academic Affairs forwards his or her recommendation, along with the Tenure and Promotion Committee’s recommendation, to the President for review. The President’s decision, if positive, results in a recommendation for the granting of tenure and promotion that is sent to the Board of Trustees at their April meeting. Tenure is granted to members of the Rhodes Faculty by the Board of Trustees on the recommendation of the President (typically at that same meeting).

In completing the assessment and determining that a recommendation in favor of granting tenure is appropriate, the consensus of the department/program Chair, the Vice President for Academic Affairs, and the President must be that there is a clear need for continuing a permanent position in the area of the faculty member’s expertise and teaching competence.

Normally no member of the Faculty may teach more than seven years at Rhodes without having been granted tenure; exceptions are made only in those special circumstances where a term contract is appropriate.

Promotion to Associate Professor normally accompanies a positive tenure decision as a natural consequence of meeting the standards for tenure. On rare occasions, promotion to Associate Professor may occur before completion of twelve semesters of full-time teaching as a way to recognize an unusually effective member of the Faculty. While such early promotion to Associate Professor requires evidence of outstanding contributions to the College, it does not guarantee a positive tenure review.

Tenure may be offered with the initial appointment of a senior academic to the Rhodes Faculty; in this case expedited reviews by the appropriate academic department/program, the Faculty Committee on Tenure and Promotion, and the Vice President for Academic Affairs are required.

A number of people or groups have roles in this process, and the responsibilities of each of these are outlined below.

The responsibilities of candidates for tenure are as follows:

1. Preparation of an updated portfolio in which the candidate presents relevant materials in support of the application for tenure. This portfolio would include the following

• A current curriculum vitae
• A written statement about the candidate’s work that focuses on contributions to the scholarship of the respective discipline(s) and the candidate’s teaching and service at Rhodes College.
• Copies of all scholarly work (publications, evidence of creative activities, etc.).
• Teaching materials including, but not limited to, syllabi, exams, study questions, laboratory exercises.
• An optional research statement that outlines the current and future trajectory of their scholarly work and/or places their scholarly work in the context of an overall strategy for external reviewers. 

2. Lists of the following possible evaluators:

• The names of the four members of the Faculty who served on the fourth-year Teaching Evaluation Committee.
• The names of at least six outside evaluators of professional work. All of these persons should be recognized scholars in the discipline. None should have a personal stake in the career of the candidate. The candidate provides a description of the extent of personal acquaintance, if any, the candidate has with each of the scholars named. At least two of the outside evaluators will be selected from this list.
• The names of three members of the Rhodes community (tenured faculty members and/or staff members) who can provide evaluations of service to the College.

The responsibilities of the senior members of the candidate’s department/program as specified in the PRS are as follows:

• Senior members review the materials prepared for the department/program by the candidate. Senior members should be especially mindful of the particular expectations for scholarship formulated by the academic department/program of the candidate. These have been established to present, in more detail, expectations for scholarship that must be met for a positive review at the department/program level.
• Senior members will observe at least one class during the fall semester of the review year. (Those senior members appointed to the Teaching Evaluation Committee will observe more classes, and their specific responsibilities are described below.)
• Senior members may seek further information, not gathered as a result of the processes described above, when that information is essential in making a reasoned judgment about the candidate’s performance. While candidates for tenure cannot be privy to student, faculty, or outside colleague comments on their performance, they must be informed if the department/program has questions about matters which the candidate can reasonably be expected to answer or clarify. In such instances, the candidate makes a written response which becomes a document available throughout the review process.
• As a group, senior members meet with the Chair of the department/program to discuss the performance of the candidate, as measured against the College’s standards for reappointment with tenure. At the close of this meeting, each senior member will indicate whether or not, in her/his judgment, the candidate has met the College’s standard for excellent work in all three areas of evaluation: teaching (as defined in Handbook section 7A), scholarship (section 7B, and further clarified in the department/program expectations), and service (section 7C). The purpose of this meeting of senior department/program colleagues is to provide the candidate a clear and direct indication of the judgment of their department/program colleagues, while still preserving confidentiality, and so senior members are asked here only to judge whether the candidate has met the College’s standards for promotion and tenure, or not. This meeting will take place no later than November 1.
• Following this meeting the department/program Chair will prepare a very brief letter to the candidate summarizing its outcome. This letter will not contain names or number of votes. This department/program letter shall be conveyed to the candidate by November 15, with copies sent to the Vice President for Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion.
• Each senior member of the department/program writes an individual letter of assessment, covering all three areas (teaching, scholarship, and service) and submits the letter according to instructions provided by the Faculty Committee on Tenure and Promotion. These letters are due by November 15.

The responsibilities of the Teaching Evaluation Committee are as follows:

• Committee members review the teaching materials prepared for the Committee by the candidate.
• Committee members will coordinate with the candidate to schedule visits to classes during the fall semester of the review.
• Each member of the Committee will visit a minimum of three different class sessions. The Committee will meet with the candidate at the conclusion of the class visits to discuss its observations and findings.
• Each member of the Committee then prepares a letter detailing his or her observations of the classes. When a member of the Teaching Evaluation Committee is also a senior department/program member, the letter writer should identify himself or herself as such and write a single letter. This letter will include a more substantial discussion of the candidate’s teaching than will the standard evaluation letter. All letters are submitted according to instructions provided by the Faculty Committee on Tenure and Promotion. This letter is due by November 15.

The responsibilities of the Faculty Committee on Tenure and Promotion are as follows:

• In the event that a member of the Committee is from the same departmental/program as (or has served on an ad hoc evaluation committee for) the candidate, that member is excluded from the discussion and formulation of the Committee’s recommendation.
• A designated representative for Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion select two outside reviewers from a list created by the candidate. The designated representative for Academic Affairs, in consultation with the Chair of the candidate’s department/program and with the Chair of the Faculty Committee on Tenure and Promotion, selects two additional reviewers.
• The Committee will apply the College’s standard of excellence in all three areas of assessment as described in Section VIII in assessing the performance of the candidate being reviewed over the entirety of his or her appointment at the College. The committee will be especially mindful of the particular expectations for scholarship as formulated by the academic department/program of the candidate.
• The Committee will request letters of evaluation of service/campus citizenship from three outside-of-the department/program colleagues/staff members selected by the candidate.
• The Committee will distribute special surveys to the candidate’s advisees and students. In the assessment of teaching, only students with grades A through D- will be included. In addition to the special survey, the Committee will also review the record of teaching, as measured by the college-wide evaluation instrument, during the entirety of the candidate’s probationary years at the College.
• The Committee may seek any further information, not gathered as a result of the processes described above, where that information is essential in making a reasoned judgment about the candidate’s performance. While candidates for tenure cannot be privy to student, faculty, or outside colleague comments on their performance, they must be informed if the committee has questions about matters which the candidate can reasonably be expected to answer or clarify. In such cases, the candidate makes a written response which becomes a document available throughout the review process.
• The Committee may consult materials compiled for the second-year and/or the fourth-year reviews.
• The Committee will make a recommendation in regard to appointment with tenure and promotion to Associate Professor to the Vice President for Academic Affairs normally by February 15 (the recommendation is provided at the same time to the President). A positive recommendation means that the committee has established to its satisfaction that the candidate has met the College’s standard of excellence in teaching, scholarship, and service and that based on this comprehensive review the pattern of excellence evidenced in the candidate’s teaching, scholarship, and service can be expected to be a distinguishing mark of the candidate’s continued work at the College.
• By mid-February the committee will inform the candidate in writing of its recommendation, positive or negative, with an explanation of the Committee’s reasoning in reaching its recommendation.

The responsibilities of the Vice President for Academic Affairs are as follows:

• The Vice President for Academic Affairs will review all information collected in the process of assessment.
• The Vice President for Academic Affairs will weigh the recommendation of the Faculty Committee on Tenure and Promotion, requesting from the Committee or its Chair additional information, if needed, to clarify the Committee’s recommendation.
• The Vice President for Academic Affairs will apply the College’s standard of excellence in all three areas of assessment as described in Section VIII in assessing the performance of the candidate being reviewed over the entirety of his or her appointment at the College, and will be especially mindful of the particular expectations for scholarship as formulated by the academic department/program of the candidate.
• The Vice President for Academic Affairs will make an independent recommendation for or against the granting of tenure which is then submitted, along with all materials collected in the process of assessment, to the President by early March. The Vice President for Academic Affairs will meet with the President to discuss the recommendation.
• Normally by mid-March the Vice President for Academic Affairs will meet with the candidate and communicate his or her recommendation for or against the granting of tenure, along with that of the President.
• After the meeting, the Vice President for Academic Affairs will provide the candidate with a letter summarizing his or her recommendation.
• The Vice President for Academic Affairs will inform the Chair of the Faculty Committee on Tenure and Promotion and the candidate’s department/program Chair of both the Vice President’s own recommendation and that of the President.

Personal circumstances may arise that warrant a delay in the tenure review of a faculty member. Examples may include, but are not limited to, the birth or adoption of a child or the need to care for a partner or family member who is seriously ill. In such cases, a faculty member is eligible to request a one-year postponement of the tenure review. This postponement will not change what is expected in the cumulative record of the faculty member in the areas of teaching, scholarship, and service at the time of tenure consideration, even though the candidate will have been in the probationary period longer than six years. This extension of the probationary period is independent of and different from any full or partial leave of absence, although faculty who meet qualifications for the Family Medical Leave Act (FMLA) would also be eligible to request an extension of the probationary period. An extension of a faculty member’s service to seven or more years does not de facto grant tenure.

The faculty member wishing to request a postponement of the tenure review must submit this request in writing to the Vice President for Academic Affairs, copying the department/program Chair. Requests normally will not be granted if made after the first Friday of March in the calendar year during which review materials are due to be submitted to the Tenure and Promotion Committee. In consultation with the department/program Chair and the Chief Human Resources Officer, the Vice President for Academic Affairs will determine whether the extension will be granted. The Vice President for Academic Affairs will issue a written reply to the faculty member, copying the department/program Chair and the Chief Human Resources Officer, within one month of the day the request was made. Requests for more than two postponements normally will not be granted.

Overview: The review process is a comprehensive assessment of the work of a faculty member. It is a review of the work of the candidate since the beginning of his or her appointment as well as an attempt to gauge a trajectory of the candidate’s career at the college. A candidate for promotion must hold the Ph.D. degree or other appropriate terminal degree.

In the year prior to review, the candidate consults with the department/program Chair to discuss the viability of a promotion. The process for consideration begins with notification of intent to apply to the Faculty Committee on Tenure and Promotion at the end of the academic year preceding the academic year in which the review takes place (early May). At the start of the year of the review, the candidate for promotion prepares an updated portfolio, described below. The Faculty Committee on Tenure and Promotion, the candidate’s department/program Chair, and the  Office of Academic Affairs then work together to gather all of the documentation required for the review. A number of steps are involved in this process:

• A designated representative for Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion assemble a Teaching Evaluation Committee, working in consultation with the candidate’s department/program Chair, and as specified in the PRS.
• The Chair of the Faculty Committee on Tenure and Promotion obtains a list of students taught by the candidate. These students receive a survey about the candidate’s teaching effectiveness. A similar list is prepared to include all of the advisees served by the candidate. These students will receive a survey about the candidate’s work as an advisor.
• The Chair of the Teaching Evaluation Committee convenes the committee, reviews the process of visitation, and oversees the timely preparation of letters for the Faculty Committee on Tenure and Promotion.
• The Chair of the Committee on Tenure and Promotion invites those non-departmental/non-program colleagues named by the candidate to submit letters of evaluation concerning service to the College.
• The Chair of the department/program reviews the process of evaluation at the department/program level with the senior members of the department/program early in the semester of review, and oversees the scheduling of class visits for senior faculty not appointed to the Teaching Evaluation Committee. The Chair then convenes the department/program meeting to discuss the candidate’s performance at the end of the review process, and oversees the timely submission of letters for the Faculty Committee on Tenure and Promotion.

When all of the review materials have been assembled, the Faculty Committee on Tenure and Promotion evaluates the candidate’s record of teaching and service. Deliberation by the Tenure and Promotion Committee usually occurs late in the fall semester of the review year. This committee makes a recommendation for or against the granting of promotion to the Vice President for Academic Affairs by the end of the fall semester. The Vice President for Academic Affairs and the President undertake their own, respective, evaluations of the candidate’s record. The Vice President for Academic Affairs’s review of the case is completed by early March. The Vice President for Academic Affairs forwards his or her recommendation, along with the Tenure and Promotion Committee’s recommendation, to the President for review. The President’s decision, if positive, results in a recommendation for the granting of promotion that is sent to the Board of Trustees at their April Meeting. Promotion is granted to members of the Rhodes Faculty by the Board of Trustees on the recommendation of the President (typically at that same meeting).

In completing the assessment and determining that a recommendation in favor of granting promotion is appropriate, the consensus of the department/program Chair, the Vice President for Academic Affairs, and the President must be that there is a need in the area of the faculty member’s expertise and teaching competence. Nothing in this paragraph alters the nature of the term contract appointments of nontenurable faculty or confers tenure on nontenurable faculty.

A number of people or groups have roles in this process, and the responsibilities of each of these are outlined below.

The responsibilities of candidates for promotion without tenure are as follows:

1. Preparation of an updated portfolio in which the candidate presents relevant materials in support of the application for tenure. This portfolio would include the following

• A current curriculum vitae.
• A written statement about the candidate’s work that focuses on the candidate’s teaching and service at Rhodes College.
• Teaching materials including, but not limited to syllabi, exams, study questions, laboratory exercises.

2. Lists of the following possible evaluators:

• The names of four members of the Faculty nominated by the candidate to serve on the Teaching Evaluation Committee; these members are to be tenured Faculty from the department/program and/or related departments/programs as specified in the PRS.
• The names of three members of the Rhodes community (tenured faculty members and/or staff members) who can provide evaluations of service to the College. 

The responsibilities of the senior members of the candidate’s department/program are as follows: 

• Senior members review the materials prepared for the department/program by the candidate.
• Senior members will observe at least one class during the semester of the review year. (Those senior members appointed to the Teaching Evaluation Committee will observe more classes, and their specific responsibilities are described below.)
• Senior members may seek further information, not gathered as a result of the processes described above, when that information is essential in making a reasoned judgment about the candidate’s performance. While candidates for promotion cannot be privy to student, faculty, or outside colleague comments on their performance, they must be informed if the department/program has questions about matters which the candidate can reasonably be expected to answer or clarify. In such instances, the candidate makes a written response which becomes a document available throughout the review process.
• As a group, senior members meet with the Chair of the department/program to discuss the performance of the candidate, as measured against the College’s standards for promotion. At the close of this meeting, each senior member will indicate whether or not, in her/his judgment, the candidate has met the College’s standard for excellent work in both areas of evaluation: teaching (as defined in Handbook section 7A) and service (section 7C). The purpose of this meeting of senior department /program colleagues is to provide the candidate a clear and direct indication of the judgment of their department/program colleagues, while still preserving confidentiality, and so senior members are asked here only to judge whether the candidate has met the College’s standards for promotion, or not. This meeting will take place no later than October 1.
• Following this meeting the department/program Chair will prepare a very brief letter to the candidate summarizing its outcome. This letter will not contain names or number of votes. This department/program letter shall be conveyed to the candidate by October 15, with copies sent to the Vice President for Academic Affairs and the Chair of the Faculty Committee on Tenure and Promotion.
• Each senior member of the department/program writes an individual letter of assessment, covering both areas (teaching and service) and submits the letter according to instructions provided by the Chair of the Faculty Committee on Tenure and Promotion. These letters are due by October 15. 

The responsibilities of the Teaching Evaluation Committee are as follows: 

• Committee members review the materials prepared for the Committee by the candidate.
• Committee members will coordinate with the candidate to schedule visits to classes during the fall semester of the review.
• Each member of the Committee will visit a minimum of three different class sessions. The Committee will meet with the candidate at the conclusion of the class visits to discuss its observations and findings.
• Each member of the Committee then prepares a letter detailing his or her observations of the classes. When a member of the Teaching Evaluation Committee is also a senior department/program member, the letter writer should identify himself or herself as such and write a single letter. This letter will include a more substantial discussion of the candidate’s teaching than will the standard evaluation letter. All letters are submitted according to instructions provided by the Chair of the Faculty Committee on Tenure and Promotion. This letter is due by October 15. 

The responsibilities of the Faculty Committee on Tenure and Promotion are as follows: 

• In the event that a member of the Committee is from the same department/program as (or has served on an ad hoc evaluation committee for) the candidate, that member is excluded from the discussion and formulation of the Committee’s recommendation.
• The Committee will apply the College’s standard of excellence in both areas of assessment as described in Section VIII in assessing the performance of the candidate being reviewed over the entirety of his or her appointment at the College.
• The Committee will request letters of evaluation of service/campus citizenship from three outside-of-the department/program colleagues/staff members selected by the candidate.
• The Committee will distribute special surveys to the candidate’s advisees and students. In the assessment of teaching, only students with grades A through D- will be included. In addition to the special survey, the Committee will also review the record of teaching, as measured by the college-wide evaluation instrument, during the entirety of the candidate’s years at the College.
• The Committee may seek any further information, not gathered as a result of the processes described above, where that information is essential in making a reasoned judgment about the candidate’s performance. While candidates for promotion cannot be privy to student, faculty, or outside colleague comments on their performance, they must be informed if the committee has questions about matters which the candidate can reasonably be expected to answer or clarify. In such cases, the candidate makes a written response which becomes a document available throughout the review process.
• The Committee may consult materials compiled for the three preceding tri-annual reviews.
• The Committee will make a recommendation in regard to promotion to Associate Professor to the Vice President for Academic Affairs normally by the end of the fall semester (the recommendation is provided at the same time to the President). A positive recommendation means that the committee has established to its satisfaction that the candidate has met the College’s standard of excellence in teaching and service and that based on this comprehensive review the pattern of excellence evidenced in the candidate’s teaching and service can be expected to be a distinguishing mark of the candidate’s continued work at the College.
• By mid-February the Committee will inform the candidate in writing of its recommendation, positive or negative, with an explanation of the Committee’s reasoning in reaching its recommendation. 

The responsibilities of the Vice President for Academic Affairs are as follows: 

• The Vice President for Academic Affairswill review all information collected in the process of assessment.
• The Vice President for Academic Affairswill weigh the recommendation of the Faculty Committee on Tenure and Promotion, requesting from the Committee or its Chair additional information, if needed, to clarify the Committee’s recommendation.
• The Vice President for Academic Affairswill apply the College’s standard of excellence in both areas of assessment as described in Section VIII in assessing the performance of the candidate being reviewed over the entirety of his or her appointment at the College.
• The Vice President for Academic Affairswill make an independent recommendation for or against the granting of promotion which is then submitted, along with all materials collected in the process of assessment, to the President by early January. The Vice President for Academic Affairswill meet with the President to discuss the recommendation.
• In mid-January the Vice President for Academic Affairswill meet with the candidate and communicate his or her recommendation for or against the granting of promotion, along with that of the President.
• At the end of the meeting, the Vice President for Academic Affairswill provide the candidate with a letter summarizing his or her recommendation.
• The Vice President for Academic Affairs will inform the Chair of the Faculty Committee on Tenure and Promotion and the candidate’s department/program Chair of both the Vice President’s own recommendation and that of the President.

Overview: Faculty members who achieve tenure at Rhodes College continue to develop as effective teachers and active scholars and as members who support in their service work the educational mission of the College. Tenured associate professors have a post-tenure review every six years, with a mid-period update at the third year. Tenured full professors have a post-promotion review every six years. The objective of these reviews is to provide opportunities for reflection and feedback on the tenured faculty member’s continued growth in teaching, scholarship, and service, and to provide a framework for discussions of long-term career planning, including, in the case of associate professors, promotion to professor.

Excellence as defined in Section VIII of the College Handbook remains the benchmark for tenured faculty. Excellence in the post-tenure period entails:

• A level of teaching effectiveness that maintains or exceeds the excellence required for tenure;
• Continued scholarly achievement, demonstrated by activities and outcomes appropriate for a recognized scholar in the field;
• Sustained and effective academic citizenship commensurate with level of experience.

The process for post-tenure review: During the first full academic year of service following the receipt of tenure, the faculty member prepares a non-binding prospectus of professional development for the next six years. This prospectus is written in consultation with the department/program Chair and filed with the Office of Academic Affairs. The prospectus addresses all three areas of evaluation. At six-year intervals thereafter until promotion to the rank of professor, the faculty member prepares a two-part professional development document, consisting of a reflection on the faculty member’s growth in teaching, scholarship, and service over the previous six-year period, and a prospectus for the next six years. The professional development document provides a framework for a review of the faculty member’s professional growth.

In the third year of each post-tenure review cycle, the faculty member prepares an update of the professional development document, indicating progress to date as well as any changes or updates to the prospectus. The faculty member presents this update and a current curriculum vitae to the department/program Chair. The department/program Chair also reviews whatever evidence of effective teaching seems appropriate to insure that the faculty member is continuing to meet the College’s standards of excellence in teaching. The faculty member and the department/program Chair meet to discuss the update along with any issues that may have arisen concerning teaching. The department/program Chair then sends a brief statement to the Vice President for Academic Affairs summarizing the outcome of that conversation. In the event that there are issues that appear to demand attention, the Vice President for Academic Affairs may request a meeting with the department/program Chair and/or the faculty member.

In early January of the post-tenure review year, the faculty member creates a portfolio containing:

• The professional development document
• A current curriculum vitae that includes
  • All scholarly or creative activity
  • Courses taught
  • Service to the College and the profession.
• Representative samples of course syllabi, exams, and assignments for courses taught during the previous six-year period, a list of any additional teaching (Directed Inquiries, undergraduate research/creative activity, honors research/creative activity, etc.), and a list of any new courses taught.
• Student evaluations from classes taught during the previous six-year period. Tenured faculty are required to have student evaluations conducted in one course each semester, selected in consultation with the department/program Chair to make sure that all types of teaching performed by the faculty member are represented in the review.

In addition to the portfolio, the department/program Chair reviews final grades given for all courses taught by the faculty member during the previous six-year period. This information is provided by the Data Services Office.

The department/program Chair meets with the faculty member to discuss the professional development document and the faculty member’s progress toward achieving career goals. The department/program Chair then writes an assessment of the faculty member’s professional growth which is sent to the Vice President for Academic Affairs, usually late in January. The Vice President or a designated representative and the department/program Chair meet in mid-February to discuss points of agreement and disagreement in the assessment. The Vice President for Academic Affairs or designated representative conveys in writing the results of these discussions to the faculty member being evaluated, with a copy to the department/program Chair. The faculty member is welcome to meet with the Vice President for Academic Affairs or designated representative, if desired, to discuss the outcome of the review; the department/program Chair may be invited to this meeting at the discretion of the Vice President for Academic Affairs or designated representative.

The process for post-promotion review: At six-year intervals after promotion to the rank of professor, the faculty member prepares a professional development document, consisting of a reflection on the faculty member’s growth in teaching, scholarship, and service over the previous six-year period, and a non-binding prospectus for the next six years. The prospectus may propose shifts in emphasis between scholarship or creative activity and service, as appropriate for the faculty member’s career trajectory. In early January the faculty member provides to the department/program Chair the professional development document and a current curriculum vitae. The department/program Chair meets with the faculty member to discuss the professional development document and the faculty member’s progress toward achieving career goals. The department/program Chair then writes an assessment of the faculty member’s career growth which is sent to the Vice President for Academic Affairs, usually late in January. The Vice President for Academic Affairs or a designated representative and the department/program Chair meet in mid-February to discuss points of agreement and disagreement in the assessment. The Vice President for Academic Affairs or designated representative conveys in writing the results of these discussions to the faculty member being evaluated, with a copy to the department/program Chair. The faculty member is welcome to meet with the Vice President for Academic Affairs or designated representative, if desired, to discuss the outcome of the review; the department/program Chair may be invited to this meeting at the discretion of the Vice President for Academic Affairs or designated representative.

Reviews of department chairs: If the faculty member under review is a department/program Chair, the review normally will be conducted by some other senior member of the department/program designated by the Vice President for Academic Affairs.

Remediation: In rare and extreme cases, in either the post-tenure review or the post-promotion review, a faculty member may receive an assessment indicating that the faculty member has failed to meet the College’s standards of excellence in one or more areas of evaluation. In such cases, the faculty member will develop, in consultation with the Vice President for Academic Affairs and the department/program Chair, a plan for improvement that addresses the area(s) of deficiency and a timeline for improvement. In accordance with a schedule specified by the timeline, the Vice President for Academic Affairs and the department/program Chair will evaluate the faculty member’s work in removing the deficiency. After two years, if the Vice President for Academic Affairs determines that the faculty member has not shown evidence of improvement in the designated area(s), the salary of the faculty member will continue without increases until the level of achievement is deemed by the Vice President for Academic Affairs to be appropriate; that is, the salary will be frozen at the level of salary in the second year after the review. At the conclusion of the period specified in the timeline, should performance not meet the level of achievement specified in the plan for improvement, the Vice President for Academic Affairs will determine an appropriate response.

At the time of a negative review, the faculty member may request a review of the matter. The Tenure and Promotion Committee will hear the petition from the member of the Faculty, and the Committee will make a recommendation to the Vice President for Academic Affairs. The Committee’s recommendation will become part of the official record maintained at the College.

Overview: Promotion to the rank of Professor recognizes a sustained trajectory of significant achievement in teaching, scholarship, and service to the College since the appointment to Associate Professor. Given the need for an extensive period of time in which to establish such a trajectory, application for promotion to Professor normally occurs six years or more after promotion to Associate Professor. In teaching, the successful candidate should have maintained or exceeded the level of teaching effectiveness achieved for tenure. In scholarship, there should be concrete evidence of scholarly productivity that has contributed significantly to the candidate’s professional profile. In service, the candidate should demonstrate a level of meaningful and effective service to the College beyond that required for tenure. Potential candidates are encouraged to discuss their plans for promotion with their department/program Chairs and a designate of the Office of Academic Affairs.

The Process: The process for consideration begins with notification of intent to apply to the Faculty Committee on Tenure and Promotion at the end of the academic year preceding the academic year in which the review takes place (early May). By May 31 (preceding the academic year of review), the candidate for promotion submits the names of at least six outside reviewers of professional work. The due date for submission of materials will be early August. The Faculty Committee will consider the application in the fall semester.

The candidate for promotion prepares an updated portfolio according to instructions provided by the Chair of the Faculty Committee on Tenure and Promotion.

Participation in the review process:  Normally every senior member of a candidate’s department/program participates in the review process; the minimum number of reviewers is three. In cases where fewer than three senior members of the department/program exist, the Vice President for Academic Affairs, in consultation with the Chair of the Department/Program, will appoint ad hoc members of the faculty to bring the number of participants in the review up to three. These external faculty will act in the capacity of senior departmental/program members for the purposes of the candidate’s evaluation, and their assessments of the candidate will be given equal weight with assessments from faculty within the candidate’s department/program. In selecting faculty, the Vice President for Academic Affairs will consult with an Associate Dean of Academic Affairs, the candidate, and the candidate’s department/program chair.

For all faculty with significant interdisciplinary teaching commitments, regardless of the size of the home department, the Vice President for Academic Affairs will normally invite the Chair or another senior member of the relevant interdisciplinary programs to evaluate the faculty as an ad hoc member of the candidate’s department.

The responsibilities of candidates for promotion are as follows:

1. Preparation of an updated portfolio in which the candidate presents relevant materials in support of the application for promotion. This portfolio would include the following:

• A letter, or personal statement, addressing qualifications for promotion in the areas of teaching, scholarship activities, and service (These letters typically average from 4-5 typed, double-spaced pages.)
• A current curriculum vitae, including a complete bibliography of published work or evidence of creative activity;
• A representative sample of syllabi, examinations, and class or laboratory exercises covering the period since the appointment to Associate Professor;
• Copies of publications, evidence of creative activity, and other materials related to professional work since the appointment to Associate Professor;
• An optional research statement that outlines the current and future trajectory of their scholarly work and/or places their scholarly work in the context of an overall strategy for external reviewers. 

2.  Lists of the following possible evaluators:

• Names of at least six (6) outside evaluators of scholarly production or creative works (These persons should be recognized scholars in the discipline; none of them should have a personal, vested stake in the professional standing of the candidate; the candidate should describe the extent of the acquaintance with the outside evaluators and indicate what work each outside evaluator is in a position to review.);
• Names of three (3) members of the Faculty from outside the candidate’s department/program and/or College staff who can comment on the candidate’s citizenship at the College.

The responsibilities of the senior members of the candidate’s department/program, and of faculty acting in this capacity, are:

• To review the portfolio prepared for the department/program by the candidate being reviewed;
• To be especially mindful of the particular expectations for scholarly performance as prescribed for the academic department/program of the candidate as specified in the PRS;
• To seek further information, not gathered as a result of the processes described above, where that information is essential in making a reasoned judgment about the candidate’s performance;
• To write an individual letter of assessment that is submitted according to instructions provided by the Chair of the Faculty Committee on Tenure and Promotion. (In the case that the letter is written by a Professor in the Faculty, a recommendation in regard to the promotion is made; in the case that the letter is written by an Associate Professor in the Faculty, an evaluation without a recommendation is offered.)

The responsibilities of the Faculty Committee on Tenure and Promotion are:

• In the event that a member of the Committee is from the same department/program as the candidate being reviewed, that member is excluded from the discussion and formulation of the Committee’s recommendation;
• In the event that a member of the Committee is a candidate to be considered for promotion, that member resigns from the Committee;
• The Chair of the Committee and a designated representative for Academic Affairs select two (2) outside evaluators for the candidate’s scholarly work, taken from the list provided by the candidate, and select two (2) additional outside evaluators after consultation with the Chair of the department/program;
• To apply the standards as prescribed in Section VIII above in assessing the performance of the candidate being reviewed since the appointment of the candidate as an Associate Professor at the College;
• To be especially mindful of the particular expectations for scholarly performance as prescribed for the academic department/program of the candidate and as specified in the PRS;
• To collect information about teaching effectiveness and student advising duties from special student surveys, including interviews with students, if deemed necessary;
• The Committee will distribute special surveys to the candidate’s advisees and students. In the assessment of teaching, only students with grades A through D- will be included; In addition to the special survey, the Committee will also review the record of teaching, as measured by the college-wide evaluation instrument since the appointment of the candidate as an Associate Professor at the College;
• To seek further information, not gathered as a result of the processes described above, where that information is essential in making a reasoned judgment about the candidate’s achievements;
• To make a recommendation in regard to appointment with promotion to Professor to the Vice President for Academic Affairs on or about December 5 (the recommendation is provided at the same time to the President); and,
• To inform the candidate, normally by mid-December, of the result of the recommendation, positive or negative, made by the Faculty Committee on Tenure and Promotion, with an explanation of the Committee’s reasoning in reaching its recommendation.

The responsibilities of the Vice President for Academic Affairs are:

• In cases where a candidate’s department/program contains fewer than three senior faculty members, to select senior faculty from outside of the candidate’s home department/program who have first-hand experience of the candidate’s work in the areas of teaching, research, and/or service to act as senior departmental/program members for the purposes of the candidate’s evaluation.
• To obtain, with the assistance of a designated representative for Academic Affairs, the agreement of outside evaluators to review the candidate’s scholarly work and to submit in a timely fashion a report of these evaluations to the Faculty Committee on Tenure and Promotion;
• To be especially mindful of the particular expectations for scholarly performance as prescribed for the academic department/program of the candidate and as specified in the PRS;
• To review all information collected in the process of assessment;
• To weigh the recommendation of the Faculty Committee on Tenure and Promotion, requesting from the Committee or its Chair additional information, if needed, to clarify the Committee’s recommendation;
• To make an independent recommendation which is then submitted with all materials collected in the process of assessment to the President; this is to be done on or about January 10 (If the President agrees with a recommendation to promote, the President forwards this recommendation to the Board of Trustees for action.); and,
• To inform the candidate of the result of the recommendation, positive or negative, made by the Vice President for Academic Affairs, with an explanation of the Vice President for Academic Affairs′s reasoning in reaching his or her recommendation.

In the event that a review for promotion reaches a negative outcome, the faculty member must wait at least three years from the date of the previous application before reapplying for consideration.

If contract extension beyond the fifth year is denied as a result of the fourth-year review, the Vice President for Academic Affairs will inform the candidate at a meeting of the Vice President for Academic Affairs, the department/program Chair, and the candidate, usually in December; notice will also be provided to the candidate in writing.

If tenure is denied, the Vice President for Academic Affairs will so inform the candidate, on or about March 15. The Vice President for Academic Affairs will meet with the candidate denied tenure to discuss with the candidate the reasons for denial.

If promotion to Professor is denied, the Vice President for Academic Affairs will so inform the candidate, normally on or about January 15. The Vice President for Academic Affairs meets with the candidate denied promotion to discuss with the candidate the reasons for denial.

The faculty member denied contract extension at the fourth-year review, tenure, or promotion to Professor may appeal the decision on the grounds that it was made capriciously or not in conformity with the established procedures. The faculty member must notify the Vice President for Academic Affairsin writing of his or her intent to appeal the decision within ten calendar days of being notified that contract extension, tenure, or promotion was denied.

A written appeal must then be submitted to the Vice President for Academic Affairs, the President, and the Faculty Appeals Committee no later than twenty calendar days after the submission of the notice of intent to appeal. The appeal must specify what procedure is alleged to have been violated and/or in what way the decision is alleged to have been made capriciously. In making the appeal, as throughout the tenure process and promotion process, the burden of proof rests with the faculty member.

In considering the appeal, the Faculty Appeals Committee will review pertinent information regarding procedures supplied by the Vice President for Academic Affairs and will conduct interviews limited to the alleged capriciousness or violation of procedure described in the appeal.

The Appeals Committee will provide a written report to the Vice President for Academic Affairs and the President. The report will contain findings of fact and conclusions as to whether or not the original decision was reached capriciously or procedures were violated. In the event the committee finds there were violations sufficient to warrant reconsideration, the Appeals Committee will recommend in its report that the President review the original decision. If the committee is divided, a minority report also will be filed.

A statement summarizing the Appeals Committee findings, which preserves the confidentiality of the process, will be made available to the candidate. The summary will indicate if the decision was unanimous. 

If the Appeals Committee asks the President to review a previous recommendation and the President upholds the previous recommendation, the President will provide the Appeals Committee’s full report (and the minority report if the Appeal’s Committee is divided), along with the President’s recommendation, to the Board of Trustees, who will determine the final College position on the matter.

Persons holding non-tenure track appointments to the faculty have responsibilities that vary by department/program. These areas of responsibility are specified in their term appointment contract of employment. Individuals appointed on term appointments who serve as Instructor or Assistant Professor will be evaluated in the second year of their first three years and then in the third year of their subsequent three years. Individuals on term appointments who serve as Associate Professor without tenure will be evaluated every six years after that promotion.

Review of Instructor or Assistant Professor. This term appointment review is conducted in the fall semester by the faculty member’s department/program Chair. The candidate will prepare an updated portfolio for this review. The department/program Chair will review materials on teaching and service. The department/program Chair (or, with the approval of the Vice President for Academic Affairs, a designated senior colleague in the department/program) will also observe three of the candidate’s classes in the fall semester of the review year. Additionally, the department/program Chair will review the candidate’s college-wide student evaluations and grade distributions for all classes taught during the review period.

The department Chair will receive input from at least two senior members of the department. The program Chair will receive input from at least two senior faculty members in the program or faculty designated by the Vice President for Academic Affairs. Faculty housed in departments but engaged in significant interdisciplinary scholarship or significant and regular teaching in interdisciplinary programs will be evaluated by the department Chair and two other senior faculty, normally the program Chair and a senior faculty member designated by the Vice President for Academic Affairs in consultation with the Chairs. Input from these senior department/program members will be informed by observations from class visits during the fall semester. These senior members of the department/program will meet as a group with the department/program Chair to discuss their observations and findings.

The department/program Chair will then make a determination regarding the candidate’s progress in teaching and service using the description of performance described in the previous section (Section VIII). The department/program Chair will meet with the candidate to discuss this assessment.

The department/program Chair’s written assessment of the candidate’s progress is sent to the Vice President for Academic Affairs, usually late in November. The Vice President for Academic Affairs or a designated representative will have an initial meeting with the department/program Chair to discuss the assessment of the candidate’s progress. The Vice President for Academic Affairs or a designated representative will provide a written summary of the outcome of the review, focusing on the candidate’s progress in each category of evaluation, with recommendations for improvement when necessary.

Review of Associate Professor without tenure. Faculty members who have been promoted to the rank of Associate Professor without tenure have a review every six years. The objective of this review is to provide opportunities for reflection and feedback on the faculty member’s continued growth in teaching and service.

In January of the term appointment review year, the faculty member creates a portfolio containing:

• The professional development document: a two-part document consisting of a reflection on teaching and service over the previous six-year period and a prospectus for the next six years.
• A current curriculum vitae that includes
  • Courses taught
  • Service to the College or profession
• Representative samples of course syllabi, exams, and assignments for courses taught during the previous six-year period, a list of any additional teaching (Directed Inquiries, undergraduate research/creative activity, honors research/creative activity, etc.), and a list of any new courses taught.
• Student evaluations from classes taught during the previous six-year period. Faculty who have been promoted to the rank of Associate Professor without tenure are required to have student evaluations conducted in one course each semester, selected in consultation with the department/program Chair to make sure that all types of teaching performed by the faculty member are represented in the review.

In addition to the portfolio, the department/program Chair reviews final grades given for all courses taught by the faculty member during the previous six-year period. This information is provided by the Data Services Office.

The department/program Chair meets with the faculty member to discuss the professional development document and the faculty member’s progress toward achieving career goals. The department/program Chair then writes an assessment of the faculty member’s professional growth, sent to the Vice President for Academic Affairs in late January. The Vice President or a designated representative and the department/program Chair meet in mid-February to discuss the assessment. The Vice President for Academic Affairs or designated representative conveys in writing the results of these discussions to the faculty member being evaluated, with a copy to the department/program Chair. The faculty member is welcome to meet with the Vice President for Academic Affairs or designated representative, if desired, to discuss the outcome of the review; the department/program Chair may be invited to this meeting at the discretion of the Vice President for Academic Affairs or designated representative.

In rare and extreme cases, an Associate Professor without tenure may receive an assessment indicating that the faculty member has failed to meet the College’s standards of excellence in one or both areas of evaluation. In such cases, the faculty member will develop, in consultation with the Vice President for Academic Affairs and the department/program Chair, a plan for improvement that addresses the area(s) of deficiency. Two years after that review, the Vice President for Academic Affairs and the department/program Chair will evaluate the faculty member’s work in removing the deficiency. After that evaluation, if the Vice President for Academic Affairs determines that the faculty member has not shown evidence of improvement in the designated area(s), the faculty member will not have their term appointment contract renewed after one additional year. The additional year constitutes the twelve months’ notice of non-reappointment.

A. Retirement. There is no mandatory retirement age for officers of instruction.

B. Resignation. Officers of instruction who intend to resign their faculty position will inform the Vice President for Academic Affairs in writing within two weeks of receiving contracts for the next academic year.

C. Dismissal for Cause. On rare occasions there are reasons to question the fitness of a tenured faculty member or a faculty member whose term has not expired for continued employment. Such reasons may include, without limitation, moral turpitude (including falsification of academic credentials), neglect of assigned duty, or incompetency.

The procedures to be followed in evaluating these reasons and taking appropriate actions must be pursued with due consideration of the position of the faculty member and of the welfare of the academic mission of the College. For this reason Rhodes College has adopted procedural guidelines set forth in the 1958 Statement on Procedural Standards in Faculty Dismissal Proceedings, established by the American Association of University Professors. A copy is attached as an Appendix. The procedures outlined in the paragraphs below are direct adaptations to the Rhodes College governance structure of these AAUP guidelines.

1. Preliminary Proceedings Concerning the Fitness of a Faculty Member. When reason arises to question the fitness of a college faculty member who has tenure or whose term appointment has not expired, the Vice President for Academic Affairs, after consultation with the President, will discuss the matter with the faculty member in personal conference. The matter may be terminated by mutual consent at this point; but if a resolution does not result, the Faculty Governance Committee will informally inquire into the situation to effect a resolution if possible and, if none is effected, to determine whether in its view formal proceedings to consider dismissal for cause should be instituted.
   
   If the Faculty Governance Committee recommends that such proceedings be begun, or if the Vice President for Academic Affairs, after consultation with the President, even after considering a recommendation of the committee favorable to the faculty member, takes the position that a proceeding should be undertaken, action will be commenced under the procedures which follow.
   
   Except where there is disagreement between the Faculty Governance Committee and the Vice President for Academic Affairs, a statement with reasonable particularity of the grounds proposed for the dismissal will be jointly formulated by the Vice President for Academic Affairs and the Faculty Governance Committee. If there is disagreement, the DVice President for Academic Affairs will formulate the statement.
    
2. Commencement of Formal Proceedings. The formal proceedings are initiated by a letter to the faculty member from the Vice President for Academic Affairs, informing the faculty member of the statement formulated, and informing the faculty member that, if requested, a hearing to determine whether the faculty member should be removed from the faculty position on the grounds stated will be conducted by the Faculty Committee on Appeals at a specified time and place. The Faculty Committee on Appeals sits as the Hearing Committee for matters involving dismissal for cause. The hearing is normally scheduled within thirty days of notification to the faculty member.
   
   In setting the date of the hearing, sufficient time will be allowed the faculty member to prepare a defense. The faculty member will be informed, in detail or by reference to published regulations, of the procedural rights that will be accorded to the faculty member. The faculty member will state in reply whether a hearing is requested and, if so, will answer in writing, not less than ten days before the date set for the hearing, the statements in the Vice President for Academic Affairs’s letter.
    
3. Suspension of the Faculty Member. Suspension of the faculty member during the proceedings is justified only if immediate harm to self or others is threatened by a continuance of the appointment. Unless legal consideration forbids, any such suspension will be with pay.
    
4. Faculty Committee on Appeals. The committee of faculty members to conduct the hearing and reach a decision is an elected standing committee of the Faculty – the Faculty Committee on Appeals. In the event that there is a conflict of interest presented to any member of the committee the standard procedure for appointing a replacement is to be followed.
    
5. Faculty Committee on Appeals Proceedings. The Faculty Committee on Appeals proceeds by considering the statement of grounds for dismissal already formulated and the faculty member’s response written before the time of the hearing.
   
   If the faculty member has not requested a hearing, the Committee should consider the case on the basis of the obtainable information and decide whether the appointment of the faculty member should not be renewed; otherwise the hearing should go forward.
   
   The Committee, in consultation with the Vice President for Academic Affairs and the faculty member, will exercise its judgment as to whether the hearing should be public or private. If any facts are in dispute, the testimony of witnesses and other evidence concerning the matter set forth in the letter to the faculty member will be made available to the Committee by the Vice President for Academic Affairs.
   
   The Vice President for Academic Affairs has the option of attendance during the hearing. The Vice President for Academic Affairs may designate an appropriate representative to assist in developing the case; but the committee will secure the presentation of evidence important to the case, will determine the order of proof, and will normally conduct the questioning of witnesses if called.
   
   The faculty member will have the option of assistance by counsel, whose functions should be similar to those of the representative chosen by the Vice President for Academic Affairs. The faculty member has the additional procedural rights set forth in the 1940 AAUP Statement of Principles on Academic Freedom and Tenure and will have the aid of the Faculty Committee on Appeals, when needed, in securing the attendance of witnesses.
   
   The faculty member or his or her counsel, and the Vice President for Academic Affairs or representative designated by the Vice President for Academic Affairs, have the right, within reasonable limits, to question all witnesses who testify orally. The faculty member has the opportunity to be confronted by all witnesses adverse to the faculty member. Where unusual and urgent reasons cause the Faculty Committee on Appeals to withhold this right, or where the witness cannot appear, the identity of the witness, as well as the witness’ statements, will nevertheless be disclosed to the faculty member. Subject to these safeguards, statements may when necessary be taken outside the hearing and made available to the Committee. All of the evidence will be duly recorded. Unless special circumstances warrant, it is not necessary to follow formal rules of court procedure.
    
6. Consideration by the Faculty Committee on Appeals. The Faculty Committee on Appeals will reach its decision in conference, on the basis of the hearing. Before doing so, it will give opportunity to the faculty member or counsel and the representative designated by the Vice President for Academic Affairs to argue orally before it. If written briefs would be helpful, the committee may request them.
   
   The committee may proceed to decision promptly, without having the record of the hearing transcribed, where it feels that a just decision can be reached by this means; or it may await the availability of a transcript of the hearing if its decision would be aided thereby. It will make explicit findings with respect to each of the grounds of removal presented, and a reasoned opinion is required.
   
   Publicity concerning the committee’s decision may properly be withheld until consideration has been given to the case by the governing body of the institution.
   
   The Vice President for Academic Affairs, the President, and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing. Any release to the public is made through the President’s office.
    
7. Consideration by Governing Body. The President transmits to the Board of Trustees the full report of the Faculty Committee on Appeals, stating its action. On the assumption that the Board of Trustees has accepted the principle of the Faculty Committee on Appeals, acceptance of the committee’s decision is normally expected.
   
   If the Board of Trustees chooses to review the case, its review will be based on the record of the previous hearing, accompanied by opportunity for argument, oral or written or both, by the principals at the hearing or their representatives.
   
   The decision of the Faculty Committee on Appeals is either sustained or the proceeding is returned to the committee with objections specified. In such a case the committee will reconsider the case, taking account of the stated objections and receiving new evidence if necessary. It frames its decision and communicates it in the same manner as before.
   
   Only after study of the committee’s reconsideration will the Board of Trustees make a final decision overruling the committee.
    
8. Publicity. Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements about the case by either the faculty member or administrative officers are avoided so far as possible until the proceedings have been completed. Any announcement of the final decision will include a statement of the Faculty Committee on Appeal’s original action, if this has not previously been made known.

D. Dismissal of Tenured Faculty. Special institutional circumstances may lead to the dismissal of a tenured faculty member.

If a program or department or major track within a department is discontinued, faculty members within that program or department may be dismissed. However, the College will give hiring priority to any tenured faculty member who had been dismissed for these reasons should the program or department or track be reestablished within two years.

The President may declare a state of financial exigency in the event that the College’s total operating income declines by 10% or more from the annual projected income budget. In the event that a state of financial exigency is declared, each department and division of the College will develop a reduction plan immediately, not waiting for the next budget cycle.

If the College declares a state of financial exigency, tenured members of the faculty may be dismissed. The College should be most reluctant to take the extreme measure of dismissing tenured members of the Faculty.

Sabbatical leave is granted to members of the Faculty to allow them to pursue professional activities that will promote scholarly research or creative activities. The College expects sabbatical leave to produce tangible results. Completing work for the Ph.D. or other terminal degree is not an appropriate use of sabbatical leave. A record of scholarship or creative productivity is expected for successful applications (including, when applicable, demonstrated outcomes from the previous sabbatical). However, the sabbatical is not granted in recognition of previous work; rather, it is awarded in anticipation of future work.

A. Eligibility. A Faculty member with tenure is eligible for sabbatical leave after twelve semesters of full-time teaching and thereafter is eligible after each successive twelve semesters of full-time teaching. The sabbatical leave or leave of absence will not count toward a subsequent sabbatical leave.

Full-time Faculty members may count semesters taught at a reduced load if the reduced load is the result of a College initiative. If a sabbatical leave is delayed beyond the semester in which a Faculty member is first eligible, the additional semester of teaching will not count toward a subsequent sabbatical unless the delay is the result of a College request. Only four semesters can be carried forward in this way.

B. Length and Compensation. Sabbatical leave may be granted for one semester or for one full academic year.

While on one semester leave a Faculty member will continue to receive full salary. While on a full year, two semester leave a Faculty member will be paid a total of 60% of the annual salary that would have been paid in that year if not on leave. Contributions by the College to a faculty member’s retirement plan will be based on the salary actually paid under the annual contract for the sabbatical leave year in accordance with the retirement plan adopted and approved for the College. During a sabbatical leave year, all other fringe benefits remain in force as outlined in the College Handbook.

C. Application.

1. Faculty eligible for sabbatical leave will submit a letter of intent to the Office of Academic Affairs by 1 October of the year prior to the academic year of the projected leave. This letter of intent will include a statement from the candidate indicating the projected duration of the sabbatical leave (either a full academic year or the specific semester being requested for leave) and will be accompanied by a letter from the applicant’s Department Chair that describes the department’s (and any affected program’s) plan for covering the applicant’s teaching responsibilities during the leave. When a leave is contingent on acceptance into a program or research group, or on receipt of grant support, the letter of intent application should give a detailed description of such contingencies and the dates by which the contingencies will be removed.
2. Applicants for sabbatical leave will present copies of the full project description and a current curriculum vitae to both the Office of Academic Affairs and the Faculty Development Committee by 1 November of the year prior to the academic year of the leave. This detailed description of the proposed project should not exceed 2500 words and must include the expected outcomes that will result from the leave activities. Proposals from applicants who have had a previous sabbatical leave must include a separate section reporting the final outcome(s) of project(s) undertaken in the most recent sabbatical leave. Any clarifications requested by the Committee must be provided by the faculty member no later than 1 December.
3. The Faculty Development Committee will make a recommendation on the proposal to the Office of Academic Affairs by 15 December.
4. The Office of Academic Affairs will notify the faculty member regarding the outcome of his or her application for sabbatical leave on or about 15 January.
5. In special cases in which being awarded a grant is contingent upon an approved sabbatical, applications are permitted within a year in advance of the normal deadline, to accommodate idiosyncratic funding opportunities. In such cases, an appropriate similar timetable will be followed.
6. In the event that a sabbatical leave application is denied, the faculty member can reapply in the following year or any later year.

D. Returning from Sabbatical Leave. Sabbatical leave is granted on the condition that the Faculty member will return to Rhodes for at least one full-time service year immediately after the leave. Faculty members who do not return following sabbatical leave for one full-time service year will be under a contractual obligation to refund to Rhodes the full amount of their sabbatical salary and benefits on demand. No pro-ration of this obligation will be given for partial year or part-time return service.

In exceptional circumstances a member of the Faculty may be eligible for a sabbatical leave of absence and plan to retire from the College upon the end of the sabbatical leave. In such cases the eligibility and provisions for a sabbatical leave of absence apply; however, it will be designated as an academic leave of absence, not a sabbatical, the provision to resume the teaching appointment is waived, and the reporting requirements associated with a sabbatical leave of absence are not in effect.

E. Reports. A faculty member returning from leave will make a full written report of his or her leave activities to the Faculty Development Committee and Office of Academic Affairs no later than November 1st following their return. This report, together with a statement on additional long-term outcomes of these activities (if any), will be included as a section of the next sabbatical leave application. Both reports will guide the Committee and the Vice President for Academic Affairs when considering future leave applications.

Personal leaves of absence without salary may be granted officers of instruction at the discretion of the President on the recommendation of the officer’s departmental chair and the Vice President for Academic Affairs. Requests for a Leave of Absence without pay must be made at least one semester prior to the beginning of the leave.

Leaves of absence may be granted for personal reasons or to allow a Faculty member to accept a fellowship or other short-term professional opportunity. A leave of more than one service year’s length will be granted only in exceptional circumstances. Failure to return to Rhodes at the end of a leave of absence will be considered a resignation.

A. The Proportion of the Faculty Holding Tenure. The College takes seriously the commitment to a member of the Faculty when a tenured appointment is made; it also takes seriously the concerns that are frequently expressed when the proportion of the Faculty holding tenure appears to limit the College’s ability to alter, to modify, or to change academic programs when good reasons are presented for such changes. By action of the Board of Trustees the President and the Vice President for Academic Affairs are to present annually an accounting of the current profile of the Faculty, including the proportion of the Faculty holding tenure, and to present a projection of the Faculty cohort over the next five years, showing anticipated changes due to non-reappointment, tenure contracts awarded, and expected retirements.

B. Policy on the Replacement of Faculty Recruited to Administrative Positions. The expertise and experience of senior members of the Rhodes faculty can make them attractive candidates for administrative positions at the College, and their work in administration provides valuable service to the College. When the administrative appointment of a faculty member results in the loss of some teaching capacity to an academic department, that department should routinely be allowed to hire replacement faculty, on a term basis, to cover the courses lost. If the administrative duties of the faculty member are likely to extend over several years, a term appointment of three years or more may be justified. However, because administrative positions are not lifetime appointments, and because the length of an administrative appointment may be difficult to define or predict at the outset, replacement hires for faculty serving in administration will not be tenurable. 

The College may consider an exception to this general policy under certain circumstances. If a faculty member has served in an administrative position for a period of not less than four years, and if all parties expect her or his administrative appointment to continue indefinitely, her or his home academic department may apply for the creation of a tenure-track position to replace that colleague. Such applications should be made only if the department can demonstrate that there is a special need for a tenure-track or tenured faculty member in this position. These applications should be submitted according to the regular process for requesting new faculty positions. 

A. The Affirmative Action Policy aims to achieve a broader race and gender employee applicant pool of minorities and women.

B. Rhodes’ Equal Employment Opportunity Policy prohibits discrimination on the basis of race, age, sex, national origin, color, veteran status, or disability.

C. Rhodes College’s Commitment to Diversity:

A diverse learning community is a necessary element of a liberal arts education, for self-understanding is dependent upon the understanding of others. We, the members of Rhodes College, are committed to fostering a community in which diversity is valued and welcomed. To that end, Rhodes College does not discriminate – and will not tolerate harassment – on the basis of race, gender, color, age, religion, disability, sexual orientation, gender identity or expression, genetic information, and national or ethnic origin.

We are committed to providing an open learning environment. Freedom of thought, a civil exchange of ideas, and an appreciation of diverse perspectives are fundamental characteristics of a community that is committed to critical inquiry. To promote such an academic and social environment we expect integrity and honesty in our relationships with each other and openness to learning about and experiencing cultural diversity. We believe that these qualities are crucial to fostering social and intellectual maturity and personal growth.

Intellectual maturity also requires individual struggle with unfamiliar ideas. We recognize that our views and convictions will be challenged, and we expect this challenge to take place in a climate of open-mindedness and mutual respect.

A diverse learning community is a necessary element of a residential liberal arts education. We, the members of the Rhodes College community, are committed to creating a community where diversity is valued and welcomed. To that end, Rhodes College does not discriminate on the basis of race, gender, color, age, religion, disability, sexual orientation, and national or ethnic origin and will not tolerate harassment or discrimination on those bases. We are committed to providing an open learning environment. Freedom of thought, a healthy exchange of ideas, and an appreciation of diverse perspectives are fundamental characteristics of a community of scholars. To promote such an academic and social environment we expect integrity and honesty in our relationships with each other and openness to learning about and experiencing cultural diversity. We believe that these qualities are crucial to fostering social and intellectual maturity. Intellectual maturity also requires individual struggle with unfamiliar ideas. We recognize that our views and convictions will be challenged, and we expect this challenge to take place in a climate of tolerance and mutual respect.

Quorum. A quorum is constituted by a majority of the voting members of the Faculty.

Attendance, Participation, and Voting. Regular meetings of the Faculty or special sessions of the Faculty are not open to all members of the community unless so designated by action of the entire Faculty.

Only members of the Faculty are eligible to vote in Faculty meetings. However, others may attend Faculty meetings and participate in discussion. Persons normally permitted to attend Faculty meetings are the President of the Rhodes Student Government, members of the Senior Leadership Team, the Chief Information Officer, and the Registrar. Members of the Board of Trustees, Officers of Instruction who are not members of the Faculty, and one of the student members of any standing committee of the Faculty may attend Faculty meetings as they wish.

In addition, individuals whose views on a particular issue are important to the conduct of Faculty business may be invited to attend a Faculty meeting and participate in discussion of that issue. These invitations are made by the Faculty Governance Committee or by the Faculty as a whole. 

The Faculty will vote by voice unless a show of hands is necessary to decide a majority. However, an anonymous ballot can be called for by the presiding officer or by majority vote. 

Agenda. The normal order of business at meetings of the faculty shall be as follows:

1. Call to Order 
2. Reports from Officers of the College
3. Items for Faculty Action from Standing Committees
4. Items for Information or Discussion from Standing Committees  
5. Old Business
6. New Business 
7. Announcements 
8. Adjournment 

“Items for Faculty Action” (3) includes all business submitted by standing committees for faculty approval. This would include motions from standing committees that constitute some change in current practice and require faculty approval, or resolutions from standing committees aimed at an expression of the will of the faculty. 

“Items for Information or Discussion” (4) includes routine announcements from committees, but also business which standing committees wish to bring before the faculty to present important information or to invite preliminary or informal discussion on a matter of concern. Committees may use this time to make routine announcements; these need not be included in committee minutes as agenda items. Committees wishing to report to faculty with needed information, or to invite discussion on an upcoming question or matter of concern, will normally submit these items with their minutes, in a separate section marked “For Faculty Information or Discussion.” These items will be included in the agenda, allowing faculty to acquaint themselves with the questions in advance. Questions brought by committees here may take the form of a draft or tentative motion, on which a committee requests preliminary feedback, or may be stated informally as topics of potential faculty interest. Where appropriate, faculty may be asked by a standing committee to register their initial view of such questions, using a system of balloting which makes all responses anonymous. Results of such polls will be available for all faculty but will be used only to provide information to the relevant committee to guide their further work. No items included in Part 4 of the meeting agenda may be brought for a faculty decision until a subsequent meeting.

New Business may be introduced from the floor of the meeting by any member of the Faculty, but any decision by vote on such business must be delayed until a subsequent meeting in order to satisfy the 48-hour notice rule.

Upon the passage of a motion from the floor, the order of consideration of agenda items may be changed at any time during the meeting.

Minutes. Detailed minutes of the Faculty meetings shall be kept by the Faculty Secretary and shall be filed in the Academic Affairs Office along with the relevant agenda and supporting documents.

Specific actions of the Faculty shall be communicated in writing by the Faculty Secretary to the individuals or committees affected by the action. The Faculty minutes shall be available to any Faculty member who wishes to see them.

Confidentiality. Deliberations or actions of the Faculty judged to be confidential by the President, the Vice President for Academic Affairs, the Presiding Officer, or the Faculty shall not be discussed outside its membership. A designation of “Confidential” shall be made by the President, the Vice President for Academic Affairs, by the presiding officer, or by vote of the Faculty at the time of such deliberation or action. Announcement of the confidential Faculty action should be made only by the presiding officer or, if requested by the presiding officer, by the Secretary of the Faculty.

Important Matters. An action being considered by the Faculty may be designated an “important matter” when the importance of the action is deemed sufficiently great to demand extended deliberation. A matter may be declared an “important matter” by any one of the following methods:

1. The President or the presiding officer at the Faculty meeting may so designate it;
2. If the matter comes to the Faculty from a standing committee, the committee may so designate it by a majority vote; or,
3. Upon a motion from the floor, in which case the motion requires the affirmation of one-third of the Faculty present.

In every case, the designation must take place prior to the final vote on the action.

When a matter has been declared an “important matter,” final vote on it shall be taken at a meeting subsequent to the meeting in which the matter was introduced for consideration. The matter may be debated on its first introduction, and will be discussed. It will be debated again at the subsequent meeting, at which time the final vote will be taken.

Nonconcurrence of the President. If an action is taken by the Faculty in which the President does not concur, the President may announce the nonconcurrence immediately after the Faculty action, or, in writing, at some later time. Notification of nonconcurrence by the President has the effect of tabling the action of the Faculty. The matter may then be reopened for debate at a subsequent meeting and if two-thirds of the Faculty members present vote affirmatively on the matter, the President must present the action to the Board of Trustees along with the President’s recommendation.

Parliamentary Rules. Faculty meetings shall be conducted in accordance with these rules and procedures and with Roberts’ Rules of Order, latest edition. The Faculty’s own rules and procedures shall have precedence. The Faculty Parliamentarian shall give interpretations of correct procedure when requested by the presiding officer or upon the Parliamentarian’s own volition. Procedural questions not specifically covered by these specified sources shall be decided by majority vote of the Faculty. These rules of procedure that do not limit the presiding officer may be suspended by a two-thirds vote of the Faculty present.

Revision of Rules and Procedures for Faculty Meetings. All amendments to the Rules and Procedures for Faculty Meetings must be approved by the Faculty. Proposals for revision shall be presented at a Faculty meeting at least one month before a final vote on the matter is taken. Ordinarily such proposals will be referred for study and recommendation to a committee appointed for this purpose by the Faculty Governance Committee.

Electronic Meetings. The Faculty Governance Committee may call for a meeting to be held through electronic means. Meetings conducted through electronic means shall follow the College Handbook to the extent possible, as determined by the Faculty Governance Committee. During electronic meetings the following rules shall additionally apply: Participants shall identify themselves as required to sign in to the electronic meeting service.  

Participants are responsible for their own audio and internet connections; no action shall be invalidated on the grounds that the loss of, or poor quality of, a participant’s individual connection prevented participation in the meeting.  

The Presiding Officer may cause or direct the disconnection or muting of a participant’s connection if it is causing undue interference with the meeting.

Votes shall be taken by the anonymous voting feature of the electronic meeting service, unless a different method is agreed upon by faculty vote. Business may also be conducted by unanimous consent. 

[Reprinted from L. Joughin (Ed.), Academic Freedom and Tenure: A Handbook of the American Association of University Professors (Madison: University of Wisconsin Press, 1969), pp. 33-39.]

In 1915, at the time of the founding of the association, a committee on academic freedom and tenure formulated a statement entitled A Declaration of Principles. This statement set forth the concern of the association for academic freedom and tenure, for proper procedures, and for professional responsibility. The declaration was endorsed by the American Association of University Professors at its second annual meeting, held December 31, 1915, and January 1, 1916.

In 1925, the American Council on Education called a conference of representatives of a number of its constituent members, among them the American Association of University Professors, for the purpose of preparing a statement in this area. There emerged the 1925 Conference Statement on Academic Freedom and Tenure, which was endorsed in 1925 by the Association of American Colleges and in 1926 by the American Association of University Professors.

In 1940, following upon a series of conferences which began in 1934, representatives of the Association of American Colleges and the American Association of University Professors agreed upon a Statement of Principles on Academic Freedom and Tenure and upon three attached “interpretations.” The 1940 statement and its interpretations were endorsed by the two associations in 1941. In subsequent years endorsement has been officially voted by numerous other organizations.

The purpose of this statement is to promote public understanding and support of academic freedom and tenure and agreement upon procedures to assure them in colleges and universities. Institutions of higher education are conducted for the common good and not to further the interest of either the individual teacher or the institution as a whole. The common good depends upon the free search for truth its free exposition.

Academic freedom is essential to these purposes and applies to both teaching and research. Freedom in research is fundamental to the advancement of truth. Academic freedom in its teaching aspect is fundamental for the protection of the rights of the teacher in teaching and of the student to freedom in learning. It carries with it duties correlative with rights.

Tenure is a means to certain ends—specifically, (1) freedom of teaching and research and of extramural activities and (2) a sufficient degree of economic security to make the profession attractive to men and women of ability. Freedom and economic security—hence, tenure—are indispensable to the success of an institution in fulfilling its obligations to its students and to society.

Academic Freedom

(a) The teacher is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of his other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

(b) The teacher is entitled to freedom in the classroom in discussing his subject, but he should be careful not to introduce into his teaching controversial matter which has no relation to his subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.

(c) The college or university teacher is a citizen, a member of a learned profession, and an officer of an educational institution. When he speaks or writes as a citizen, he should be free from institutional censorship or discipline, but his special position in the community imposes special obligations. As a man of learning and an educational officer, he should remember that the public may judge his profession and his institution by his utterances. Hence, he should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that he is not an institutional spokesman.

Academic Tenure

(a) After the expiration of a probationary period, teachers or investigators should have permanent or continuous tenure, and their service should be terminated only for adequate cause, except in the case of retirement for age or under extraordinary circumstances because of financial exigencies. In the interpretation of this principle it is understood that the following represents acceptable academic practice:

1. The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and teacher before the appointment is consummated.
2. Beginning with appointment to the rank of full-time instructor or a higher rank, the probationary period should not exceed seven years, including within this period full-time service in all institutions of higher education, but subject to the proviso that when—after a term of probationary service of more than three years in one or more institutions—a teacher is called to another institution, it may be agreed in writing that his new appointment is for a probationary period of not more than four years, even though thereby the person’s total probationary period in the academic profession is extended beyond the normal maximum of seven years. Notice should be given at least one year prior to the expiration of the probationary period if the teacher is not to be continued in service after the expiration of that period.
3. During the probationary period a teacher should have the academic freedom that all other members of the Faculty have.
4. Termination for cause of a continuous appointment, or the dismissal for cause of a teacher, previous to the expiration of a term appointment, should, if possible, be considered by both a Faculty committee and the governing board of the institution. In all cases where the facts are in dispute, the accused teacher should be informed before the hearing in writing of the charges against him and should have the opportunity to be heard in his own defense by all bodies that pass judgment upon his case. He should be permitted to have with him an adviser of his own choosing who may act as counsel. There should be a full stenographic record of the hearing available to the parties concerned. In the hearing of charges of incompetence the testimony should include that of teachers and other scholars, either from his own or from other institutions. Teachers on continuous appointment who are dismissed for reasons not involving moral turpitude should receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution.
   Termination of a continuous appointment because of financial exigency should be demonstrably bona fide.

Interpretations

At a conference of representatives of the American Association of University Professors and of the Association of American Colleges on November 7-8, 1940, the following interpretations of the 1940 Statement of Principles on Academic Freedom and Tenure were agreed upon:

1. That its operation should not be retroactive.
2. That all tenure claims of teachers appointed prior to the endorsement should be determined in accordance with the principles set forth in the 1925 Conference Statement on Academic Freedom and Tenure.
3. If the administration of a college or university feels that a teacher has not observed the admonitions of paragraph (c) of the section on Academic Freedom and believes that the extramural utterances of the teacher have been such as to raise grave doubts concerning his fitness for his position, it may proceed to file charges under paragraph (a) (4) of the section on Academic Tenure.
4. In pressing such charges the administration should remember that teachers are citizens and should be accorded the freedom of citizens. In such cases the administration must assume full responsibility, and the American Association of University Professors and the Association of American Colleges are free to make an investigation.

Proceedings

The following Statement on Procedural Standards in Faculty Dismissal Proceedings was prepared by a joint committee representing the Association of American Colleges and the American Association of University Professors and was approved by these two associations at their annual meetings in 1958. It supplements the 1940 Statement of Principles on Academic Freedom and Tenure by providing a formulation of the “academic due process” that should be observed in dismissal proceedings. The exact procedural standards here set forth, however, “are not intended to establish a norm in the same manner as the 1940 Statement of Principles on Academic Freedom and Tenure, but are presented rather as a guide. . . .”

Introductory Comments

Any approach toward settling the difficulties which have beset dismissal proceedings on many American campuses must look beyond procedure into setting and cause. A dismissal proceeding is a symptom of failure; no amount of use of removal process will help strengthen higher education as much as will the cultivation of conditions in which dismissals rarely if ever need occur.

Just as the board of control or other governing body is the legal and fiscal corporation of the college, the Faculty are the academic entity. Historically, the academic corporation is the older. Faculties were formed in the Middle Ages, with managerial affairs either self-arranged or handled in course by the parent church. Modern college faculties, on the other hand, are part of a complex and extensive structure requiring legal incorporation, with stewards and managers specifically appointed to discharge certain functions.

Nonetheless, the Faculty of a modern college constitute an entity as real as that of the faculties of medieval times, in terms of collective purpose and function. A necessary pre-condition of a strong Faculty is that it have first-hand concern with its own membership. This is properly reflected both in appointments to and in separations from the Faculty body.

A well-organized institution will reflect sympathetic understanding by trustees and teachers alike of their respective and complementary roles. These should be spelled out carefully in writing and made available to all. Trustees and Faculty should understand and agree on their several functions in determining who shall join and who shall remain on the Faculty. One of the prime duties of the administrator is to help preserve understanding of those functions. It seems clear on the American college scene that a close positive relationship exists between the excellence of colleges, the strength of their faculties, and the extent of Faculty responsibility in determining Faculty membership. Such a condition is in no wise inconsistent with full Faculty awareness of institutional factors with which governing boards must be primarily concerned.

In the effective college, a dismissal proceeding involving a Faculty member on tenure, or one occurring during the term of an appointment, will be a rare exception, caused by individual human weakness and not by an unhealthful setting. When it does come, however, the college should be prepared for it, so that both institutional integrity and individual human rights may be preserved during the process of resolving the trouble. The Faculty must be willing to recommend the dismissal of a colleague when necessary. By the same token, presidents and governing boards must be willing to give full weight to a Faculty judgment favorable to a colleague.

One persistent source of difficulty is the definition of adequate cause for the dismissal of a Faculty member. Despite the 1940 Statement of Principles on Academic Freedom and Tenure and subsequent attempts to build upon it, considerable ambiguity and misunderstanding persist throughout higher education, especially in the respective conceptions of governing boards, administrative officers, and faculties concerning this matter. The present statement assumes that individual institutions will have formulated their own definitions of adequate cause for dismissal, bearing in mind the 1940 Statement and standards which have developed in the experience of academic institutions.

This statement deals with procedural standards. Those recommended are not intended to establish a norm in the same manner as the 1940 Statement of Principles on Academic Freedom and Tenure, but are presented rather as a guide to be used according to the nature and traditions of particular institutions in giving effect to both Faculty tenure rights and the obligations of Faculty members in the academic community.

Procedural Recommendations

1. Preliminary Proceedings Concerning the Fitness of a Faculty Member. When reason arises to question the fitness of a college or university Faculty member who has tenure or whose term appointment has not expired, the appropriate administrative officers should ordinarily discuss the matter with him in personal conference. The matter may be terminated by mutual consent at this point; but if an adjustment does not result, a standing or ad hoc committee elected by the Faculty and charged with the function of rendering confidential advice in such situations should informally inquire into the situation to effect an adjustment if possible and, if none is effected, to determine whether in its view formal proceedings to consider his dismissal should be instituted. If the committee recommends that such proceedings should be begun, or if the president of the institution, even after considering a recommendation of the committee favorable to the Faculty member, expresses his conviction that a proceeding should be undertaken, action should be commenced under the procedures which follow. Except where there is disagreement, a statement with reasonable particularity of the grounds proposed for the dismissal should then be jointly formulated by the president and the Faculty committee; if there is disagreement, the president or his representative should formulate the statement.

2. Commencement of Formal Proceedings. The formal proceedings should be commenced by a communication addressed to the Faculty member by the president of the institution, informing the Faculty member of the statement formulated, and informing him that, if he so requests, a hearing to determine whether he should be removed from his Faculty position on the grounds stated will be conducted by a Faculty committee at a specified time and place. In setting the date of the hearing, sufficient time should be allowed the Faculty member to prepare his defense. The Faculty member should be informed, in detail or by reference to published regulations, of the procedural rights that will be accorded to him. The Faculty member should state in reply whether he wishes a hearing and, if so, should answer in writing, not less than one week before the date set for the hearing, the statements in the president’s letter.

3. Suspension of the Faculty Member. Suspension of the Faculty member during the proceedings involving him is justified only if immediate harm to himself or others is threatened by his continuance. Unless legal consideration forbid, any such suspension should be with pay.

4. Hearing Committee. The committee of Faculty members to conduct the hearing and reach a decision should either be an elected standing committee not previously concerned with the case or a committee established as soon as possible after the president’s letter to the Faculty member has been sent. The choice of members of the hearing committee should be on the basis of their objectivity and competence and of the regard in which they are held in the academic community. The committee should elect its own chairman.

5. Committee Proceeding. The committee should proceed by considering the statement of grounds for dismissal already formulated and the Faculty member’s response written before the time of the hearing. If the Faculty member has not requested a hearing, the committee should consider the case on the basis of the obtainable information and decide whether he should be removed; otherwise the hearing should go forward. The committee, in consultation with the president and the Faculty member, should exercise its judgment as to whether the hearing should be public or private. If any facts are in dispute, the testimony of witnesses and other evidence concerning the matter set forth in the president’s letter to the Faculty member should be received.

The president should have the option of attendance during the hearing. He may designate an appropriate representative to assist in developing the case; but the committee should determine the order of proof, should normally conduct the questioning of witnesses, and, if necessary, should secure the presentation of evidence important to the case.

The Faculty member should have the option of assistance by counsel, whose functions should be similar to those of the representative chosen by the president. The Faculty member should have the additional procedural rights set forth in the 1940 Statement of Principles on Academic Freedom and Tenure and should have the aid of the committee, when needed, in securing the attendance of witnesses. The Faculty member or his counsel and the representative designated by the president should have the right, within reasonable limits, to question all witnesses who testify orally. The Faculty member should have the opportunity to be confronted by all witnesses adverse to him. Where unusual and urgent reasons move the hearing committee to withhold this right, or where the witness cannot appear, the identity of the witness, as well as his statements, should nevertheless be disclosed to the Faculty member. Subject to these safeguards, statements may when necessary be taken outside the hearing and reported to it. All of the evidence should be duly recorded. Unless special circumstances warrant, it should not be necessary to follow formal rules of court procedure.

6. Consideration by Hearing Committee. The committee should reach its decision in conference, on the basis of the hearing. Before doing so, it should give opportunity to the Faculty member or his counsel and the representative designated by the president to argue orally before it. If written briefs would be helpful, the committee may request them. The committee may proceed to decision promptly, without having the record of the hearing transcribed, where it feels that a just decision can be reached by this means; or it may await the availability of a transcript of the hearing if its decision would be aided thereby. It should make explicit findings with respect to each of the grounds of removal presented, and a reasoned opinion may be desirable. Publicity concerning the committee’s decision may properly be withheld until consideration has been given to the case by the governing body of the institution. The president and the Faculty member should be notified of the decision in writing and should be given a copy of the record of the hearing. Any release to the public should be made through the President’s Office.

7. Consideration by Governing Body. The president should transmit to the governing body the full report of the hearing committee, stating its action. On the assumption that the governing board has accepted the principle of the Faculty hearing committee, acceptance of the committee’s decision would normally be expected. If the governing body chooses to review the case, its review should be based on the record of the previous hearing, accompanied by opportunity for argument, oral or written or both, by the principals at the hearing or their representatives. The decision of the hearing committee should either be sustained or the proceeding be returned to the committee with objections specified. In such a case the committee should reconsider, taking account of the stated objections and receiving new evidence if necessary. It should frame its decision and communicate it in the same manner as before. Only after study of the committee’s reconsideration should the governing body make a final decision overruling the committee.

8. Publicity. Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements about the case by either the Faculty member or administrative officers should be avoided so far as possible until the proceedings have been completed. Announcement of the final decision should include a statement of the hearing committee’s original action, if this has not previously been made known.

The Rhodes Bookstore is the supplier of textbooks and supplies, required or recommended by professors for use in the classroom. Faculty are responsible for supplying course book and supply information to the textbook manager as requested.

How to Supply Course Information

Text Information Forms are supplied by the Bookstore for use in submitting course book information, including author, title and edition. Texts may also be adopted online via the Bookstore’s Web site. Instructions for the service will accompany the pre-printed adoption forms distributed each March and September.

The forms request the faculty member to designate a “required title” or a “recommended title.” Required titles are purchased in quantities necessary to meet full class enrollment, recommended titles are purchased in smaller quantities. Costs involved in receiving and handling materials ordered and not assigned will be billed back to the department. These costs will include freight in and out, handling; and in the event the books are nonreturnable, the ordering department will be charged for the books.

When to Order. The schedule for the submission of textbook information is as follows: for the first semester, roughly April 15; for the second semester, October 15. The Bookstore guarantees that textbooks ordered by these deadlines will be available in sufficient quantities for the start of class.

Special rush service is available for textbook orders that are ordered within 6 weeks of the first day of class. The cost of this service will be charged to the authorizing department.

Out-of-Stock Books. If the adopted textbook is temporarily out-of-stock, it may be possible to obtain permission from the copyright owner or publisher to photocopy a portion of the text until the book arrives. It is the responsibility of the faculty member to request this permission.

Out-of-Print Books. Resources are available in both the Bookstore and Barret Library to determine the publication status of the adopted title. The Bookstore will assist as much as possible in obtaining limited copies of out-of-print books, but the request for permission to copy for multiple use in the classroom is the responsibility of the faculty member.

Photocopying. Although copying all or part of a work without obtaining permission may appear to be an easy and convenient solution to an immediate problem, such unauthorized copying violates the rights of the author or publisher of the copyrighted work and is contrary to the academic mission to teach respect for ideas and for the intellectual property which expresses those ideas. It is the responsibility of the individual faculty member to obtain permission prior to photocopying. Failure to understand the copyright law, including elements such as the doctrine of “Fair Use” and its application and limitations in the educational setting places faculty members, copy centers, college stores, and colleges at risk for engaging in illegal photocopying.

The College Handbook contains guidelines for photocopying for academic use. Specific prohibitions within the doctrine of “Fair Use” are:

• Unauthorized copying may not be used to create, replace, or substitute for anthologies, compilations, or collective works, whether or not such unauthorized copies are collected and bound together or are provided separately.
• The same teacher cannot copy the same item without permission from term to term.

In other words, when in doubt, seek permission. For your convenience, the Bookstore and the Barret Library provide a form letter that can expedite a request for permission to copy.

Customized Course Materials. When permission to create multiple copies for use in the classroom is granted, the quantities to order, along with the selection of the copy center or printer may be coordinated by the Bookstore. Under these circumstances, the Bookstore assumes responsibility for the cost of any overstock.
 
Desk Copies. A Directory of Publishers is available from the Bookstore. The faculty member is responsible for placing the request direct to the publisher. Textbooks loaned to faculty while awaiting receipt of desk-copies will be charged to the department. Only that same book or a clean, unmarked copy will be accepted by the Bookstore for credit to the department.
 
Complimentary Copies. Rhodes College believes that the practice of buying and selling complimentary copies of textbooks contributes to higher book prices, denies authors royalties, and discourages the writing and publishing of new works. Therefore, the Rhodes Bookstore will not buy or sell textbooks marked, “complimentary copy, not for resale.” This policy also applies to books originally so marked and taped or bound over to conceal these complimentary copy markings. These markings include but are not limited to: “Complimentary copy, not for resale,” “Instructor’s copy, not for resale”, “Review copy, not for resale”, “Free book, not for resale.”  

The Office of Institutional Research has established the following policy related to surveys of students, faculty, or staff. The goals of this policy are:

• to minimize individuals’ burdens for responding to surveys;
• to ensure that data collected is valid and reliable and is used for informed decision-making;
• to respect the academic freedom of faculty and students conducting scholarly research

This policy is in addition to, not a substitute or replacement for, the Institutional Review Board (IRB) policies for the use of human subjects.

General Purpose Surveys

Any administrative office or committee, student organization, or outside entity wishing to survey students, faculty, and/or staff must submit a request to the Office of Institutional Research two weeks before the proposed survey is scheduled to commence.

After consulting with the party requesting the survey, the Director of Institutional Research will approve or disapprove the request.

• The request may not be approved if information similar to what is being sought already exists.
• The request may not be approved if the survey places an undue burden on the individuals being surveyed, makes poor use of resources, or might unduly reduce future response rates.

If the request is approved, Institutional Research can provide the following support:

• identify an appropriate sample of the population
• consult on the proposed survey instrument to help reduce bias
• create the survey instrument using our web-based software
• send the survey to the sample electronically
• collect responses electronically
• provide the survey results to the party requesting the survey (maintaining respondent anonymity if appropriate).

Survey results must be shared with the Office of Institutional Research.

Scholarly Research Surveys

Faculty or students who wish to survey students, faculty, and/or staff for scholarly research should notify the Office of Institutional Research about their research as early as possible, indicating (to the degree possible without compromising the research):

• the sample to whom the survey will be sent,
• the nature of the survey, and
• the timeframe for the survey.

Sending a copy of the actual survey instrument to Institutional Research would be appreciated, but is not required.

Sharing the results of the survey and the associated research with Institutional Research would be appreciated, but is not required.

Institutional Research may be able to provide support for scholarly research, depending on available capacity.

The Rhodes College Site

The Rhodes College site is managed by the Office of Communications to provide the entire Rhodes community – prospective students, current students, alumni, faculty, staff, parents, visitors, employers, the media, etc. – with up-to-date information about the college and access to Internet-based functional features (such as searches, online applications and event registrations).

Although the Office of Communications centrally manages the overall design, organization and interface for the Rhodes site, responsibility for content maintenance is shared with each division and department. Participation in site content maintenance ranges from working with the Office of Communications to assist with content updates to direct input of content updates through the college′s web content management system. The level of this participation in content maintenance is determined as needed during site planning with each division or department according to resource availability within that division or department.

Regardless of whether division / department participation in site content maintenance is direct or indirect, each division or department is responsible for making sure all content on the site related to their operational areas is accurate and timely.

Responsibility for site content maintenance is allocated as follows:

• The Office of Communications is responsible for editing copy as needed and maintaining design continuity, interface usability and graphic standards.
• Division heads are responsible for factual accuracy, appropriateness, timeliness and provision of current content for all content related to their areas of operation.
• Individual staff and faculty members within each division or department may be designated as content management system contributors and thereby are responsible for provision and/or input of content specific to their division, department or area of expertise.

Appropriate Use of Rhodes Computing and Telecommunications Resources

All members of the Rhodes community who use these college resources are expected to do so in a responsible and ethical manner. The right to use Rhodes’ computing and telecommunications resources can be revoked if misused or abused. Appropriate use prohibits: commercial activities; creating, displaying, or transmitting threatening, racist, sexist, obscene, or harassing language and/or materials; copyright and licensing violations; violation of personal privacy; acts in violation of federal and/or state laws.

Web content must be directly related to Rhodes’ academic programs or those services at the college that support those programs.

While it is impossible for the college to monitor full accuracy or suitability of materials on all departmental, student organization or individual pages, Rhodes will exercise diligence in dealing with questions of error or impropriety. Such questions may be referred to the appropriate President′s Staff member.

In keeping with Rhodes’ tradition of student self-governance, students are expected to use the Internet in ways consistent with codes of conduct established in the Honor Council and Social Regulations Council and with the Standards of the Rhodes Community. Cases of student violation of these codes in use of the Internet will be heard as is appropriate by either the Honor Council or the Social Regulations Council.

Respect for intellectual labor and creativity is vital to academic discourse and enterprise. This principle applies to works of all authors and publishers in all media. It encompasses respect for the right to acknowledgment, right to privacy, and right to determine the form, manner, and terms of publication and distribution.

Because electronic information is volatile and easily reproduced, respect for the work and personal expression of others is especially critical in computer environments. Violations of authorial integrity, including plagiarism, invasion of privacy, unauthorized access, and trade secret and copyright violations, may be grounds for sanctions against members of the academic community.