UNDERLINING =CHANGES AFTER 11/19
DRAFT - NOVEMBER 2002
The
POLICIES GOVERNING
ACADEMIC FREEDOM,
RESPONSIBILITY, AND TENURE
Contents
Page Topic
2................. Academic Freedom &
Responsibility of the Faculty Member
3................. Academic Freedom &
Responsibility of The University Administration
3................. Definition of Tenure
3................. Eligibility for Tenure
Consideration
4................. Probationary Period
5................. Criteria for Tenure
6................. Procedures for
Consideration & Grant of Tenure
6................. Locus of Tenure
7................. Evaluation of Tenured
Faculty Members
12................. Termination of Tenure
14................. Disciplinary Sanctions
Other than Termination for Adequate Cause
15................. Appendix A--Procedures
for Consideration & Grant of Tenure
15....................... Tenured Faculty's
Recommendation
15....................... Department Head's
Recommendation
15....................... Dean's Recommendation
16....................... Chief Academic
Officer's Recommendation
16....................... Chancellor's
Recommendation
16....................... President's
Recommendation
16....................... Action by the
Board of Trustees
17................. Appendix B--Termination
Procedures for Category A Adequate
Cause:
Unsatisfactory Performance in Teaching, Research, or Service
17....................... Preliminary Steps
18....................... Chancellor's
Decision to Initiate Termination Proceedings
18....................... Suspension With
Pay or Reassignment Pending Completion of Termination
Proceedings
18....................... Failure to
Contest
18....................... Hearing Under
TUAPA
19....................... Hearing Before a
Tribunal
21....................... Chancellor's
Recommendation on Termination
22....................... Review by the
Board of Trustees
23................. Appendix
C--Termination Procedures for Category B Adequate
Cause:
Misconduct
23....................... Preliminary Steps
23....................... Chancellor's
Decision to Initiate Termination Proceedings
24....................... Suspension or
Reassignment Pending Completion of Termination Proceedings
24....................... Failure to
Contest
24....................... Waiver of Hearing
Under TUAPA
25....................... Hearing Under
TUAPA
26....................... Expedited
Procedure for Termination or Suspension Without Pay in Certain Cases of
Misconduct
The
POLICIES
GOVERNING
ACADEMIC
FREEDOM, RESPONSIBILITY, AND TENURE[1]
Approved by the UT Board
of Trustees at its meeting of
The Board of Trustees is constituted by statute of the State
of
The principal mission of The University is the discovery and
dissemination of truth through teaching, research and service.[3]
The Board recognizes that freedom of inquiry and expression is indispensable
for this purpose and believes that it and the administration and faculty should
cooperate to that end. In The
University's program of teaching, research and service, it is essential that
the Board, administration and faculty cooperate voluntarily, each contributing
freely, according to his or her qualifications, in a mutually beneficial
exchange of information and ideas.
The following statement is intended to record the policy and
procedures of The University with respect to academic freedom, responsibility,
and tenure. The Board considers these principles compatible with its statutory
authority and responsibilities and the constitutional guarantee of freedom of
speech and inquiry to each citizen of the
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Academic Freedom and Responsibility of the Faculty Member
A healthy tradition of academic freedom and tenure is
essential to the proper functioning of a University. At the same time, membership in a society of
scholars enjoins upon a faculty member certain obligations to colleagues, to the
University and to the State that guarantees academic freedom.
1. The primary
responsibility of a faculty member is to use the freedom of his or her office in an honest, courageous,
and persistent effort to search out and communicate the truth that lies in the
area of his or her competence.
2. A faculty member
is entitled to full freedom in research and in publication of the results,
subject to the adequate performance of his or her other academic duties, but
research for pecuniary gain either within or beyond the scope of his or her
employment must be based upon an understanding with The University
administration, according to The University's policies (e.g., Compensated
Outside Services, Conflict of Interest).
3. A faculty member
should maintain a high level of personal integrity and professional competence,
as demonstrated in teaching, research, and service. Academic freedom does not exempt a faculty
member from an evaluation by colleagues and administration of his or her
qualifications for continued membership in their society.
4. A faculty member
is entitled to freedom in the classroom in discussing the subject, but the
faculty member should use care in expressing personal views in the classroom
and should be careful not to introduce controversial matters that have no
relation to the subject taught, and especially matters in which he or she has
no special competence or training and in which, therefore, the faculty member's
views cannot claim the authority accorded his or her professional statements.
5. A faculty member
should recognize that the right of academic freedom is enjoyed by all members
of the academic community. He or she
should be prepared at all times to support actively the right of the individual
to freedom of research and communication as defined herein.
6. In addition to
the normal responsibilities of a citizen of the state and nation, including the
duty to uphold their Constitutions and obey their laws, a faculty member also
should conduct himself or herself professionally with colleagues. He or she should strive to maintain the
mutual respect and confidence of his or her colleagues. He or she should endeavor to understand the
customs, traditions, and usages of the academic community.
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7. When, as a
citizen, a faculty member speaks outside the classroom or writes for
publication, he or she should be free, as a citizen, to express his or her
opinions. Each faculty member should
conduct himself or herself professionally, should be accurate, should exercise
appropriate restraint, should show respect for the opinions of others, and
should make clear that he or she speaks for himself or herself and not for The
University.
Academic Freedom and Responsibility of the University
Administration
1. The University
is committed to recruiting, appointing, retaining and promoting faculty members
by processes which are thorough, thoughtful, equitable, and in which the
professional judgments of faculty members are of major importance.
2. Administrative
officers should actively foster within The University a climate favorable to
freedom of teaching and research. In its
pursuit of excellence, The University should reward its outstanding faculty
members.
3. The administration
is responsible for enforcing all Board and campus policies applicable to
faculty members. It is the duty of the
administration--beginning with department Heads, Deans, and Chief Academic
Officers--to remove from the faculty any faculty member who has been found,
through proper procedures, seriously derelict in his or her responsibilities as
a member of the academic community.
4. The Board
requires that each campus and its constituent academic units develop
appropriate policies and procedures necessary to implement the Board's tenure
policy. These campus and academic unit
documents must be approved by the Board of Trustees in time for campus policies
and procedures to be effective on
A. Definition
of Tenure
Tenure is a
principle that entitles a faculty member to continuation of his or her annual
appointment until relinquishment or forfeiture of tenure or until termination
of tenure for adequate cause, financial exigency, or academic program
discontinuance. The burden of proof that tenure should be awarded rests with
the faculty member. Tenure is acquired only by positive action of the Board of
Trustees, and is awarded in a particular unit, department, school, college, or
other department of a campus. The award of tenure shifts the burden of proof
concerning the faculty member's continuing appointment from the faculty member
to The University.
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B. Eligibility
for Tenure Consideration
Eligibility for
tenure consideration shall be subject to the following minimum standards:
1. Regular,
full-time, tenure-track faculty appointments at the academic rank of instructor,
assistant professor, associate professor, or professor are eligible for tenure;
2. Temporary, term,
and part-time appointments are not eligible for tenure;
3. Appointments funded in whole or in part by
grants, contracts, or other funds available on a limited term basis ("soft
money") are not eligible for tenure; [delete]
4. Faculty members pursuing degrees at the
campus where they are appointed are not eligible for tenure.
3. Untenured faculty members may not pursue a degree at
the campus
where they are appointed
to a tenure-track position.
Each
campus may establish additional eligibility requirements for tenure
consideration. For example, additional requirements might include completion of
a terminal or other specified degree or a minimum rank of assistant professor.
After approval by the Board of Trustees, campus eligibility requirements for
tenure consideration shall be published in the campus Faculty Handbook.
No
faculty member shall be appointed initially with tenure except by positive
action of the Board of Trustees upon the recommendation of the President and
after review by the tenured faculty and department Head, Dean, Chief Academic
Officer, and Chancellor.
C. Probationary
Period
A tenure-track
faculty member must serve a probationary period prior to being considered for
tenure.
1. Length of
Probationary Period
The probationary
period at The University shall be no less than one and no more than seven
academic years; however, for good cause, the President, upon the recommendation
of the Chancellor, may approve a probationary period of less than one academic
year. If a faculty member has served in
a tenure-track appointment at
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another institution,
his or her total probationary service may extend beyond seven years. The original appointment letter shall state
the length of the faculty member's
probationary period
and the academic year in which he or she must be considered for tenure if he or
she has met the minimum eligibility requirements for consideration. The
stipulation in the original appointment letter of the length of the
probationary period and the year of mandatory tenure consideration does not
guarantee retention until that time.
For good
cause related to procedural error, The University and a tenure-track faculty
member may agree in writing to extend a seven-year probationary period for a
maximum of two additional years. The
proposed extension must be approved in advance by the Chief Academic Officer,
the Chancellor, the Senior Vice President (or designee), and the General
Counsel (or designee).
2. Suspension of Probationary Period
The
Chief Academic Officer shall decide whether the probationary period will be
suspended when the following circumstances occur:
a. the faculty member accepts a part-time
faculty position;
b. the faculty member accepts an
administrative position; or
c. the faculty member is granted a leave of
absence.
The
Chief Academic Officer shall give the faculty member written notice of the decision concerning suspension of the
probationary period.
3. Notice of Non-renewal
Notice
that a tenure-track faculty member's appointment will not be renewed for the
next year shall be made in writing by the Chief Academic Officer, upon the
recommendation of the department Head and Dean, according to the following
schedule:
a. In the first year of the probationary
period, not later than March 1 for an academic year appointment and no less
than three months in advance for any other term of appointment;
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b. In the second year of the
probationary period, not later than December 15 for
an academic year appointment and no less than six months in advance for any other term of appointment; and
c.
In the third and subsequent
years of the probationary period, not less than twelve
months in advance.
These
notice requirements relate only to service in a probationary period with The
University. Credit for prior service shall not be considered in determining the
required notice. Notice of non-renewal shall be effective upon personal
delivery or upon mailing, postage prepaid, to the faculty member's residential
address of record at The University.
D. Criteria for
Tenure
Tenure is
awarded after a thorough review which culminates in The University
acknowledging a reasonable presumption of the faculty member's professional
excellence, and the likelihood that
excellence will contribute substantially over a considerable period of time to
the mission and anticipated needs of the academic unit in which tenure is
granted. Professional excellence is
reflected in the faculty member's teaching, research, and service including the
faculty member's ability to interact appropriately with colleagues and students. The relative weights of these factors will
vary according to the fit between the faculty member and the mission of the
academic unit in which he or she is appointed.
Each campus
may establish more-specific criteria for tenure. After approval by the Board of Trustees,
campus criteria shall be published in the campus Faculty Handbook. Campus criteria for tenure shall include and
be consistent with the criteria stated in this policy.
An academic
unit may also establish more-specific criteria for tenure in that unit. After approval by the Dean and campus Chief
Academic Officer, these criteria for tenure shall be published in the bylaws of
the academic unit. The tenure criteria
for a department shall include and be consistent with the criteria stated in
this policy and any criteria established by the department's college and
campus.
E. Procedures
for Consideration and Grant of Tenure
Each campus
shall establish procedures for considering a faculty member for tenure. After
approval by the Board of Trustees, these procedures shall be published in the
campus Faculty Handbook. The procedures shall include and be consistent with
the minimum components stated in Appendix A.
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F. Locus of
Tenure
Tenure at The
University of Tennessee is granted in a particular academic unit (e.g.,
department, school) of a specific campus in a position appropriate to the
faculty member's qualifications. Reorganizations that result in the merger or
splitting of departments do not affect the tenure or probationary status of the
faculty involved.
If a tenured
faculty member voluntarily transfers from one UT campus to another, his or her
tenured status is not transferred. However, a review by the responsible
administrators in consultation with the tenured faculty of the receiving
department may result in an immediate recommendation to the Board of Trustees
that tenure at the new campus be granted to the transferred individual; on the
other hand, a new probationary period in the receiving unit may be established.
There shall be no involuntary transfer of faculty members between campuses.
Transfers of
tenure between departments on the same campus do not require Board approval,
but must be approved by the responsible campus administrators in consultation
with the tenured faculty of the receiving unit, with notice to the Board of
Trustees. In any event, prior to the effective date of the transfer all
conditions relating to tenure must be documented and accepted, in writing, by
the transferring faculty member. If a non-tenured faculty member transfers from
one existing department to another, a new probationary period must be
established and documented under the same guidelines that would be followed if
the faculty member came from another institution. All conditions relating to the new
probationary period must be documented and accepted, in writing, by the
transferring faculty member.
If a tenured
faculty member accepts a part-time faculty position or an administrative
position with The University, neither of which can carry tenure, the faculty
member retains tenure in the full-time faculty position he or she vacated.
G. Evaluation of
Tenured Faculty Members
Competent
teaching is a crucial responsibility for faculty members, and the effective use
of appropriate instructional evaluation (including departmental files of class
syllabi and related materials, student evaluation, and peer evaluation) is
important to all objective review processes.
Faculty members with research responsibilities should have the quantity
and quality of their work fairly assessed.
Each faculty member's service contributions should be evaluated
impartially.
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1. Annual
Performance-and-Planning Review. Each
faculty member and his or her department Head will engage in a formal annual
performance-and-planning review, examining the previous year's activities and
planning what should occur during the coming year. Each campus must seek to reward faculty members
who maintain outstanding performance, and University-wide and campus
administrators shall develop guidelines for each campus to allocate funds for
this purpose whenever feasible. Each
faculty member's Annual Performance-and-Planning review should proceed from
guidelines and criteria which are appropriate to the department, college, and
campus. A document
summarizing the review--including an objective rating of the faculty member's
performance (e.g., "Outstanding," "Satisfactory," or "Unsatisfactory")--must
be signed by the faculty member (to acknowledge receipt of the review document)
and the department Head; a copy must be sent to the Dean. A faculty member whose performance is deemed
to be unsatisfactory shall be ineligible for rewards (e.g., salary increments),
and must provide to the department Head a written interim progress report of
remedial steps taken on his or her performance in area(s) noted as
unsatisfactory. The Dean must notify the
campus Chief Academic Officer of all faculty members whose performance is
deemed unsatisfactory.
2. Cumulative
Performance Review. There shall be
comprehensive, formal, cumulative, performance reviews of all tenured faculty
members to promote faculty development and to ensure professional vitality. Each campus shall establish policies and
procedures which ensure that these reviews include peer evaluation and take
place with sufficient frequency.
Additionally, a rigorous and thorough review shall be made of any faculty
member whose performance is deemed to be unsatisfactory in two consecutive
Annual Performance-and-Planning Reviews.
A Review Committee shall be convened by the department Head within
thirty days of the second negative review, and shall be composed of the
department Head, appropriate tenured departmental faculty members, and faculty
and administrative staff from outside the department. If a faculty member is evaluated by the
Review Committee as unsatisfactory, the department Head, Dean, Chief Academic
Officer, and Faculty Senate President or Faculty Senate Executive Committee
shall reach consensus on one of two actions:
a. recommend
that the Chancellor initiate proceedings to terminate the faculty member for
adequate cause; or
b. develop with the affected faculty member a written remediation
plan (e.g., skill-development leave of absence, intensive mentoring,
curtailment of outside services, change
in load/responsibilities) normally of up to one calendar year,
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and a means of their
assessing its efficacy. At the end of
the remediation period, the Review Committee, Dean, Chief Academic Officer, and
Faculty Senate
President or the
Faculty Senate Executive Committee shall send a written report to the campus
Chancellor, recommending:
(i) that the faculty member's performance is no
longer unsatisfactory; or
(ii) that the Chancellor initiate proceedings to
terminate the faculty member for
adequate cause.
G. Evaluation of Tenured Faculty Members
Competent teaching is a crucial responsibility for faculty
members, and the effective use of appropriate instructional evaluation
(including departmental files of class syllabi and related materials, student
and peer evaluation, etc.) is important to all objective review processes. Faculty members with research
responsibilities should have the quantity and quality of their work fairly
assessed. Each faculty member's service
contributions should be evaluated impartially.
1. Annual Performance-and-Planning Review. Each faculty member and his or her Department
Head will engage in a formal annual performance-and-planning review, examining
the previous year's activities and planning what should occur during the coming
year. Each campus shall strive to reward
faculty members who maintain outstanding performance, and administrators shall
develop guidelines for each campus to allocate funds for this purpose whenever
feasible. Each faculty member's annual
review should proceed from guidelines and criteria which are appropriate to the
department, college, and campus, and this annual review should be a key element
involving merit pay or performance-based salary adjustments. A document summarizing the review--including
an objective rating of the faculty member's performance, below--must be signed
by the faculty member (to acknowledge receipt of the review document) and the
department Head; the Head must send a copy to the Dean and to the Chief
Academic Officer.
Performance ratings
for annual reviews shall be as follows:
Outstanding
for Rank
Exceeds
Expectations for Rank
Meets
Expectations for Rank
Needs
improvement for Rank
Unsatisfactory
for Rank
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A faculty member
whose performance is deemed to be Needs Improvement or Unsatisfactory shall be
ineligible for rewards (e.g., salary increments). Within 30 days of the annual review, any
faculty member rated Needs Improvement or Unsatisfactory must collaborate with
the Head on an Annual Review Improvement Plan to be reviewed and approved by
the Head and Dean. The next
year’s annual review must include a progress report of the plan’s improvement
steps taken on performance in any area(s) noted as Needs Improvement or
Unsatisfactory. Each campus shall have a
process by which a faculty member may appeal his/her annual review rating.
2. Cumulative
Performance Review (CPR). A
comprehensive, formal, cumulative, performance review is triggered for the
following tenured faculty members:
a. a
faculty member whose annual review is Unsatisfactory in any two of five
consecutive years;
b. a faculty member whose annual review is any combination of
Unsatisfactory or Needs Improvement in any three of five consecutive years.
In either of these cases where a
faculty member fails to meet expectations, each campus shall establish policies
and procedures which ensure that these reviews include peer evaluation of
the faculty member’s cumulative performance. Within thirty days of being
triggered, a CPR committee shall be convened by the Dean, who shall determine
its chair. This committee shall be
composed of appropriate (same or higher rank) tenured departmental faculty
members (excluding the Head), and appropriate faculty (same or higher rank)
from outside the department. The faculty
member being reviewed and the Head may each name a campus tenured professor
(same or higher rank) to the committee, which normally should have at least
seven (7) members. The committee chair
shall forward the committee recommendation to the Dean and Chief Academic
Officer. Performance ratings for
cumulative reviews shall be as follows:
Satisfactory (satisfies expectations
for rank)
Unsatisfactory (fails to meet
expectations for rank)
If the committee
rates the faculty member’s performance as unsatisfactory, it may develop with
the affected faculty member a written CPR Improvement Plan (e.g.,
skill-development leave of absence, intensive mentoring, curtailment of outside
services, change in load/responsibilities) normally of up to one calendar year,
and a means to assess its efficacy, with the plan to be approved by the Head
and Dean; or
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the committee may
recommend to the Dean and Chief Academic Officer that the Chancellor initiate
proceedings to terminate the faculty member for adequate cause after the
Chancellor has received the advice of the Faculty Senate President or the
Faculty Senate Executive Committee.
If the committee rates the faculty
member’s performance as Satisfactory, the Dean must determine which rating
(Head’s or committee’s) he/she believes is correct and take one of the
following three actions after notifying the Chief Academic Officer:
a. determine
that the faculty member’s performance has been Satisfactory, and that his/her
personnel file should show that both the committee and the Dean concur in a
Satisfactory CPR rating;
b. determine that the faculty member’s
performance has been Unsatisfactory and require that the committee develop with
the affected faculty member a written CPR Improvement Plan (e.g.,
skill-development leave of absence, intensive mentoring, curtailment of outside
services, change in load/responsibilities) normally of up to one calendar year,
and a means to assess its efficacy; or
c. determine
that the faculty member’s performance has been Unsatisfactory and recommend to
the Chief Academic Officer that the Chancellor initiate proceedings to terminate the faculty member for adequate cause after the Chancellor
has received the advice of the Faculty Senate President or the Faculty Senate
Executive Committee.
At the end of the time allotted
for a CPR improvement plan, the Head, committee, Dean, and Chief Academic
Officer shall send a written report to the campus Chancellor, recommending:
(i) that the faculty member's performance is
Satisfactory and no other action need be
taken at this time; or
(ii) that the faculty member’s performance has
improved sufficiently to allow for up to one additional year of monitoring of
improvement, after which the Head, committee, Dean, and Chief Academic Officer
must determine whether the faculty member’s performance is Satisfactory or
Unsatisfactory; or
(iii) that the Chancellor initiate proceedings to
terminate the faculty member for adequate cause after the Chancellor has
received the
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advice of the
Faculty Senate President or the Faculty Senate Executive Committee
H. Termination of Tenure
1. Grounds
for Termination
a. Relinquishment or Forfeiture of Tenure
A tenured faculty member
relinquishes tenure upon resignation or retirement from The University. A
tenured faculty member forfeits tenure upon taking an unauthorized leave of
absence or failing to resume the duties of his or her position following an
approved leave of absence. Forfeiture results in automatic termination of
employment. The Chief Academic Officer shall give the faculty member written
notice of the forfeiture of tenure and termination of employment.
b. Extraordinary Circumstances
Extraordinary circumstances
warranting termination of tenure may involve either financial exigency or
academic program discontinuance. In the case of financial exigency, the
criteria and procedures outlined in the Board-approved Financial Exigency Plan
for each campus shall be followed. In the case of academic program
discontinuance, the termination of tenured faculty may take place only after
consultation with the faculty through appropriate committees of the department,
the college, and the Faculty Senate.
If termination of tenured
faculty positions becomes necessary because of financial exigency or academic
program discontinuance, the campus administration shall attempt to place each
displaced tenured faculty member in another suitable position. This does not
require that a faculty member be placed in a position for which he or she is
not qualified, that a new position be created where no need exists, or that a
faculty member (tenured or non-tenured) in another department be terminated in
order to provide a vacancy for a displaced tenured faculty member. The position
of any tenured faculty member displaced because of financial exigency or
academic program discontinuance shall not be filled within three years, unless
the displaced faculty member has been offered reinstatement and a reasonable
time in which to accept or decline the offer.
c. Adequate Cause
"Adequate cause"
includes the following and similar types of reasons:
Category A: Unsatisfactory Performance in Teaching,
Research, or Service
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(1) failure to demonstrate professional competence in teaching,
research, or service;
(2) failure to perform satisfactorily the duties or responsibilities
of the faculty position, including but not limited to (a) failure to comply
with a lawful directive of the department Head, Dean, or Chief Academic Officer
with respect to the faculty member's duties or responsibilities; and (b)
inability to perform an
essential function
of the faculty position, given reasonable accommodation, if requested;
(3) loss of professional licensure if licensure is required for the performance
of the faculty member's duties; or with respect to Health Sciences faculty,
failure to be granted or loss of medical staff membership and privileges at
affiliated teaching hospitals; or
(4) dishonesty or other serious violation of professional ethics or
responsibility in teaching, research, or service; or serious violation of
professional responsibility in relations with students, employees, or members
of the community.
Category B: Misconduct
(1) failure or persistent neglect to comply with University policies,
procedures, rules, or other regulations, including but not limited to violation
of The University's policies against discrimination and harassment;
(2) falsification of a University record, including but not limited to
information concerning the faculty member's qualifications for a position or
promotion;
(3) theft or misappropriation of University funds, property,
services, or other resources;
(4) admission of guilt or conviction of: (i)
a felony; or (ii) a non-felony directly related to the fitness of a faculty
member to engage in teaching, research, service, or administration;
(5) any misconduct directly related to the fitness of the faculty
member to engage in teaching, research,
service, or administration.
2. Termination
Procedures for Adequate Cause
Each campus shall establish
procedures for terminating a tenured faculty member, or a tenure-track faculty
member before the expiration of the annual term, for adequate cause. After
approval by the Board of Trustees, termination procedures shall be
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published in the campus Faculty
Handbook. Termination procedures shall incorporate and be consistent with the
provisions cited in Appendices B and C.
I. Disciplinary Sanctions Other than
Termination for Adequate Cause
Disciplinary sanctions other than
termination may be imposed against a faculty member.
If the proposed sanction is suspension
without pay for a definite term (no more than one year), the procedures
applicable to termination shall be offered prior to suspension, provided,
however, that the procedures shall be modified as follows: (1) suspension
without pay for a definite term (no more than one year) may be imposed as a
sanction by the Chancellor without review by the President and the Board of
Trustees; and (2) the Chancellor may determine that the expedited procedure for
suspension without pay is applicable to the conduct (see Appendix C concerning
the expedited procedure).
If the proposed sanction does not
involve suspension without pay, the department Head shall make a recommendation
to the Dean, and the Dean shall make a recommendation to the Chief Academic
Officer. The Chief Academic Officer shall give the faculty member written
notice of the proposed sanction and the supporting reason(s) and shall offer
him or her an opportunity to respond both in writing and in person. The faculty member may appeal the proposed
sanction through established appeal procedures, and the sanction shall be held
in abeyance until conclusion of the appeal.
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Appendix A
Procedures for Consideration and Grant of Tenure
1. Tenured Faculty's Recommendation
An adequate evaluation of a tenure
candidate's qualifications, professional contributions, potential, and
determination of whether he or she should be accepted as a tenured member of
the campus academic community, requires the judgment of both the candidate's
faculty colleagues and the responsible administrators. Thus, although
recommendations for tenure are administrative actions that must be approved by
the Board of Trustees, there should be no positive recommendation for tenure
without formal consultation with the tenured faculty of the department in which
the candidate holds his or her position.
Each department shall adopt bylaws
governing the tenured faculty's consideration of a candidate for tenure. The
bylaws shall provide for a meeting of the tenured faculty to debate and discuss
the tenure candidacy. The bylaws shall also provide for the manner of taking
and recording a formal vote of the tenured faculty on whether the candidate
should be recommended for tenure and shall establish the minimum number of votes
necessary to constitute a positive recommendation.
2. Department Head's Recommendation
The vote of the tenured faculty is
advisory to the department Head. After making an independent judgment on the
tenure candidacy, the Head shall submit his or her recommendation to the Dean
with a written summary of his or her judgment. If the Head's recommendation
differs from the recommendation of the tenured faculty, the summary must
explain the reasons for the differing judgment, and the Head must provide a
copy of the summary to the tenured faculty. The tenured faculty may forward a
dissenting report to the next level of review.
3. Dean's Recommendation
All tenure recommendations of the
department Head, whether positive or negative, shall be reviewed by the Dean of
the college. The Dean may establish a college-wide committee for review of
tenure and promotion recommendations. The recommendation of a college-wide
committee shall be advisory to the Dean. After making an independent judgment
on the tenure candidacy, the Dean shall forward his or her recommendation to
the Chief Academic Officer.
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4. Chief Academic Officer's Recommendation
All tenure recommendations of the Dean,
whether positive or negative, shall be reviewed by the Chief Academic Officer.
After making an independent judgment on the tenure candidacy, the Chief
Academic Officer shall forward his or her recommendation to the Chancellor.
5. Chancellor's Recommendation
All tenure recommendations of the Chief
Academic Officer, whether positive or negative, shall be reviewed by the
Chancellor. After making an independent judgment on the tenure candidacy, the
Chancellor shall forward only positive recommendations to the President.
6. President's Recommendation
If the President concurs in the positive
recommendation of the Chancellor, he or she shall submit the recommendation for
tenure to the Board of Trustees.
7. Action by the Board of Trustees
No person shall acquire or be granted
tenure except by positive action of the Board of Trustees upon the
recommendation of the President. The Board of Trustees acts only on positive
recommendations. After positive action by the Board of Trustees, the Chancellor
shall give the faculty member written notice of the effective date of tenure.
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Appendix B
Termination Procedures for Category A Adequate Cause:
Unsatisfactory Performance in Teaching, Research, or
Service
1. Preliminary Steps
The following preliminary steps shall be
followed in cases of termination for unsatisfactory performance in teaching,
research, or service, unless the faculty member has been under a remediation
plan as described in the Cumulative Performance Review section of this
policy. If a faculty member has been
under a remediation plan and the Review Committee, Dean, Chief Academic
Officer, and Faculty Senate President or Faculty Senate Executive Committee
recommend initiation of termination proceedings, the Chancellor shall proceed
to consult with the President and to decide whether to initiate termination
proceedings without following these preliminary steps.
A. Tenured
Faculty's Recommendation
The department Head shall direct
the tenured departmental faculty to review the faculty member's performance in
teaching, research, and service and to vote on the question of whether
termination proceedings should be initiated. The faculty vote shall be advisory
to the department Head.
B.
Department Head's Recommendation
If the department Head concludes
termination proceedings should be initiated, he or she shall forward a
recommendation simultaneously to the Dean and the Chief Academic Officer. The
Head's recommendation shall include the history of efforts to encourage the
faculty member to improve his or her performance and of the vote of the tenured
faculty on the question of whether proceedings should be initiated.
C. Dean's
Recommendation
If the Dean concludes termination
proceedings should be initiated, he or she shall forward a recommendation to
the Chief Academic Officer.
D. Chief
Academic Officer's Recommendation
(1) If the Chief Academic Officer concludes termination proceedings
should be initiated, he or she shall call the faculty member to a meeting to
discuss a mutually satisfactory resolution of the matter.
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(2) If a mutually satisfactory resolution is not achieved, the Chief
Academic Officer shall within thirty days ask the Faculty Senate (or
appropriate committee of the Senate) to conduct an informal inquiry and make a
recommendation to him or her within thirty days as to whether termination
proceedings should be initiated. The recommendation of the Faculty Senate shall
be advisory to the Chief Academic Officer.
(3) After considering the recommendation of the Faculty Senate, the
Chief Academic Officer shall make a recommendation to the Chancellor as to
whether termination proceedings should be initiated.
2. Chancellor's Decision to Initiate
Termination Proceedings
If, after consulting with the President,
the Chancellor decides to initiate termination proceedings, he or she shall
give the faculty member written notice, including (1) a statement of the grounds
for termination, framed with reasonable particularity; (2) notice of the
faculty member's right to contest the proposed termination in a hearing before
a tribunal, as described below, or in a hearing conducted under the provisions
of the Tennessee Uniform Administrative Procedures Act; and (3) notice that the
faculty member has ten days after receipt of the written notice to elect in
writing to contest the termination and to elect in writing the form of hearing.
The Chancellor shall send a copy of the written notice to the Faculty Senate at
the same time.
3. Suspension With Pay or Reassignment
Pending Completion of Termination Proceedings
After consultation with the President of
the Faculty Senate or the Faculty Senate Executive Committee, the Chancellor
may suspend the faculty member with pay, or change his or her assignment of
duties, pending completion of The University's termination proceedings.
4. Failure to Contest
If the faculty member does not contest
the charge(s) in writing and make the required hearing election within ten days
after receipt of the written notice, the faculty member shall be terminated,
and no appeal of the matter will be heard within The University.
5. Hearing under the
A. Contested
Case Procedures
If the faculty member makes a
timely election to contest the charge(s) under the Tennessee Uniform
Administrative Procedures Act (TUAPA), the Chancellor shall appoint a hearing
examiner, and the matter shall proceed in accordance with the contested case
procedures promulgated by The University under the TUAPA. The TUAPA contested
case procedures are published in the Rules and Regulations of the
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State of
B. Initial
Order
In accordance with the TUAPA
contested case procedures, upon completion of the hearing, the hearing examiner
shall render an initial order, which either party may appeal to the Chancellor
within ten days. In addition, the Chancellor, on his or her own motion, may
elect within ten days to review the hearing officer's initial order.
C. Final
Order
The hearing examiner's initial
order shall become the final order unless review is sought by either party or
the Chancellor within the ten-day period. If review is sought, the Chancellor
shall review the initial order and issue a final order in accordance with
applicable provisions of the TUAPA contested case procedures. The final order,
whether rendered by the Chancellor or by virtue of neither party appealing the
initial order, shall be the final decision on the charge(s) within The
University.
D. Judicial
Review
If the final order is unfavorable
to the faculty member, he or she is entitled to judicial review of the final
order in accordance with applicable provisions of the Tennessee Uniform
Administrative Procedures Act.
6. Hearing before a Tribunal
If the faculty member makes a timely election
to contest the charge(s) and to waive the right to a hearing under the
Tennessee Uniform Administrative Procedures Act, the Chancellor shall ask the
Faculty Senate, or a designated committee of the Senate, to appoint a hearing
tribunal within fifteen days and shall notify the faculty member of this
action. The matter then shall proceed in accordance with the tribunal
procedures described below.
A. Composition
of the Tribunal
The University tribunal shall
consist of members of the faculty and the administration. Either the Chancellor
or the faculty member may challenge the appointment of a tribunal member on the
ground of bias or conflict of interest. A challenge shall be judged by the
Faculty Senate, or a designated committee of the Senate, whose decision on the
challenge shall be final and not subject to appeal.
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B. Notice
of hearing
The Chancellor shall give the
faculty member written notice of the hearing date at least 20 days in advance.
C. Representation
If The University intends to be
represented by legal counsel, the written notice of the hearing date shall so
advise the faculty member. The written notice shall also state the faculty
member's right to be represented by legal counsel or other representative of
his or her choice. If the faculty member intends to be represented by legal
counsel, he or she must notify the tribunal chairperson within ten days of
receipt of the written notice of the hearing date. If the faculty member fails
to give timely notice of legal representation, the hearing date shall be
postponed at The University's request.
D. Waiver
of Hearing
If, at any time prior to the
hearing date, the faculty member decides to waive his or her right to a hearing
and respond to the charges only in writing, the tribunal shall proceed to
evaluate all available evidence and rest its recommendation upon the evidence
in the record.
E. Pre-Hearing
Preparation
The faculty member and The
University shall have a reasonable opportunity prior to the hearing to obtain
witnesses, specific documents, or other specific evidence reasonably related to
the charge(s).
F. Evidence
The tribunal is not bound by
legal rules of evidence and may admit any evidence of probative value in
determining the issues. The tribunal shall make every reasonable effort,
however, to base its recommendation on the most reliable evidence. If the charge is "failure to demonstrate
professional competence in teaching, research, or service," the evidence
shall include the testimony of qualified faculty members from this and/or other
comparable institutions of higher education.
G. Confrontation
and Cross-Examination of Witnesses
The faculty member and The
University shall have the right to confront and cross-examine all witnesses. If
a witness cannot or will not appear, but the tribunal determines that his or
her testimony is necessary to a fair adjudication of the charge(s), the
tribunal may admit as evidence the sworn affidavit of the witness.
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In that event, the tribunal shall
disclose the affidavit to both parties and allow both parties to submit written
interrogatories to the witness.
H. Adjournments
The tribunal shall grant
adjournments to allow either party to investigate evidence to which a valid
claim of surprise is made.
I. Burden
of Proof
The burden of proof that adequate
cause exists rests with The University and shall be satisfied only by clear and
convincing evidence in the record considered as a whole.
J. Findings
and Conclusions
The tribunal shall make written
findings and conclusions and shall provide a copy to the faculty member at the
time of submission to the Chancellor.
(1) If the tribunal concludes adequate cause for termination has not
been established, it shall so report to the Chancellor.
(2) If the tribunal concludes adequate cause for termination has been
established but that a sanction other than termination should be imposed, it
shall so recommend to the Chancellor, with supporting reasons.
(3) If the tribunal concludes adequate cause for termination has been
established and that termination is the appropriate sanction, it shall so
report to the Chancellor.
K. Transcript
of the Hearing
A verbatim record of the hearing
shall be made, and a transcript shall be provided to the faculty member and the
Chancellor at the time of the tribunal's submission of its findings and
conclusions.
7. Chancellor's Recommendation on
Termination
A. If the Chancellor concludes adequate cause
has been established and that termination is the appropriate sanction, he or
she shall transmit the hearing record and his or her recommendation to the
Board of Trustees through the President. However, if the conclusion of the
Chancellor differs from that of the tribunal, the Chancellor shall give the
tribunal and the faculty member a written statement of reasons and shall allow
the faculty member an opportunity to respond before transmitting the case to
the President and Board of Trustees.
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B. If
the Chancellor concludes adequate cause has been established but that a
sanction other than termination should be imposed, the Chancellor may impose
the lesser sanction. The faculty member may appeal the lesser sanction to the
President.
8. Review by the Board of Trustees
The Board of Trustees shall review a
recommendation of termination for adequate cause on the record of the tribunal
hearing. The Board shall provide an opportunity for oral and written argument
by the parties. The faculty member and The University may be represented before
the Board by legal counsel or other representative. If the Board concludes
adequate cause has been established and that the faculty member's tenure and
employment should be terminated, the Board shall set the effective date of
termination.
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Appendix C
Termination Procedures for Category B Adequate Cause:
Misconduct
1. Preliminary Steps
A. Consultation
with Tenured Faculty
The department Head shall consult
with the tenured faculty before making a recommendation that termination
proceedings be initiated against a tenured faculty member for alleged
misconduct within the Category B definition of adequate cause.
B. Department
Head's Recommendation
If the department Head concludes
termination proceedings should be initiated, he or she shall forward a
recommendation simultaneously to the Dean and the Chief Academic Officer. The recommendation shall include a report of
the Head's consultation with the tenured faculty.
C. Dean's
Recommendation
If the Dean concludes termination proceedings
should be initiated, he or she shall forward a recommendation to the Chief
Academic Officer.
D. Chief
Academic Officer's Recommendation
(1) If the Chief Academic Officer concludes termination proceedings
should be initiated, he or she shall call the faculty member to a meeting to
discuss a mutually satisfactory resolution of the matter.
(2) If a mutually satisfactory resolution is not achieved, the Chief
Academic Officer shall make a recommendation to the Chancellor as to whether
termination proceedings should be initiated.
2. Chancellor's Decision to Initiate
Termination Proceedings
If, after consultation with the
President, the Chancellor decides to initiate termination proceedings, he or
she shall give the faculty member written notice, including (1) a statement of
the grounds for termination, framed with reasonable particularity; (2) notice
of the faculty member's right to contest the proposed termination in a hearing
under the
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provisions of the Tennessee Uniform
Administrative Procedures Act: and (3) notice that the faculty member has ten
days after receipt of the written notice to elect in writing to contest
the termination. The Chancellor shall
send a copy of the written notice to the Faculty Senate at the same time.
3. Suspension or Reassignment Pending
Completion of Termination Proceedings
A. Suspension
With Pay--After consultation with the President of the Faculty Senate or the
Faculty Senate Executive Committee, the Chancellor may suspend the faculty
member with pay, or change his or her assignment of duties, pending completion
of The University's termination proceedings.
B. Suspension
Without Pay--After consultation with the President of The University and the
President of the Faculty Senate or the Faculty Senate Executive Committee, the
Chancellor may suspend the faculty member without pay only for the following
types of alleged misconduct and only in accordance with the procedures outlined
in the section of this policy entitled "Expedited Procedure for
Termination or Suspension Without Pay in Certain Cases of Misconduct":
(1) alleged misconduct involving: (i) acts
or credible threats of harm to a person or University property; or (ii) theft
or misappropriation of University funds, property, services, or other
resources; or
(2) indictment by a state or federal grand jury, or arrest and charge
pursuant to state or federal criminal procedure, for: (i) a felony;
or (ii) a non-felony directly related
to the fitness of a
faculty member to engage in teaching, research, service, or
administration.
4. Failure to Contest
If the faculty member does not contest
the charge(s) of misconduct in writing within ten days after receipt of the
written notice, the faculty member shall be terminated, and no appeal of the
matter will be heard within The University.
5. Waiver of Hearing Under the
If the faculty member contests the
charge(s) of misconduct but elects to waive his or her right to formal hearing
under the contested case procedures of the TUAPA, the Chancellor shall appoint
an ad hoc hearing committee to conduct an informal hearing on the charges. The
faculty member may be represented before the hearing committee by legal counsel
or other representative of his or her choice. If the faculty member intends to
be represented by legal counsel, he or she must notify the committee
chairperson within ten days of the
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hearing date. If the faculty member fails to give timely
notice of legal representation the hearing date shall be postponed at The
University's request.
The hearing committee shall make a
written report of its findings and conclusions to the Chancellor. If the Chancellor
decides adequate cause for termination of tenure and employment has been
established, he or she shall submit a written recommendation of termination to
the Board of Trustees through the President. If the Chancellor decides a lesser
sanction should be imposed, he or she may impose the sanction. The faculty
member may appeal the lesser sanction to the President.
6. Hearing under the
A. Contested
Case Procedures
If the faculty member makes a
timely election to contest the charge(s) under the Tennessee Uniform
Administrative Procedures Act (TUAPA), the Chancellor shall appoint a hearing
examiner, and the matter shall proceed in accordance with the contested case
procedures promulgated by The University under the TUAPA. The TUAPA contested
case procedures are published in the Rules and Regulations of the State of
B. Initial
Order
In accordance with the TUAPA contested
case procedures, upon completion of the hearing, the hearing examiner shall
render an initial order, which either party may appeal to the Chancellor within
ten days. In addition, the Chancellor, on his or her own motion, may elect
within ten days to review the hearing officer's initial order.
C. Final
Order
The hearing examiner's initial
order shall become the final order unless review is sought by either party or
the Chancellor within the ten-day period. If review is sought, the Chancellor shall
review the initial order and issue a final order in accordance with applicable
provisions of the TUAPA contested case procedures. The final order, whether
rendered by the Chancellor or by virtue of neither party appealing the initial
order, shall be the final decision on the charge(s) within The University.
D. Judicial
Review
If the final order is unfavorable
to the faculty member, he or she is entitled to judicial review of the final
order in accordance with applicable provisions of the Tennessee Uniform
Administrative Procedures Act.
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7. Expedited Procedure for Termination or
Suspension Without Pay in Certain Cases of Misconduct
In the following cases of alleged
misconduct by a faculty member, the Chancellor, after consulting with the
President of The University and the President of the Faculty Senate or the
Faculty Senate Executive Committee, may invoke an expedited procedure to
accomplish termination or suspension without pay, with comprehensive due
process procedures to be offered after termination or suspension without pay:
A. alleged
misconduct involving: (i) acts or credible threats of
harm to a
person or University property; or (ii)
theft or misappropriation of University
funds, property, services, or
other resources; or
B. indictment
by a state or federal grand jury, or arrest and charge pursuant
to state or federal criminal
procedure, for: (i)
a felony; or (ii) a non-felony
directly related to the fitness
of a faculty member to engage in
teaching, research, service, or
administration.
Under the expedited procedure. the faculty
member shall be offered the following process before termination or suspension
without pay:
(1) notice
of the charges;
(2) an
explanation of the evidence; and
(3) an
informal opportunity to refute the charges in a meeting with the campus Chief
Academic Officer.
After termination or suspension without pay, the faculty member shall be offered the full range of due process options available to faculty members in other adequate cause proceedings.
[1] This is a compilation and restatement of policies and procedures adopted by vote of the Board of Trustees on November 4, 1955; June 17, 1971; October 20, 1978; by periodic approval of Faculty Handbook provisions for each University of Tennessee campus; and by revisions recommended by the Board's AY 1997-98 special Tenure Committee and its Faculty Tenure Advisory Committee, and approved by the Board on 18 June 1998.
[2] Many terms throughout this
document are used generically. "The
University" refers to The
[3] The word "teaching" includes the
set of instructional activities that normally occurs in classrooms,
laboratories, clinical sites, and in directed study, etc; "research"
includes both scholarly investigation and the creation of works of art related
to a faculty member's academic appointment; "service" includes public
service, institutional service, and other assigned professional/clinical
service responsibilities.