Submitted by: Robert W. Glenn, Univ. of Tennessee, Knoxville Date: 8/28/92 A.A.U.P. Faculty Rights Guidelines The University of Tennessee Knoxville Introduction Most faculty members believe that upon appointment to the faculty of a public or private university, college, or community college, their professional efforts should be directed only toward instruction of students, research to advance the state of knowledge, and public service to the institution and community at large. Unfortunately, there are times when one of the most important responsibilities of a faculty member is to protect his or her rights as an employee as well as a teacher and/or researcher. Ones rights may be challenged by administrators, students, and/or colleagues. Many faculty members do not recognize this personal responsibility until they are aggrieved by administrator action, are challenged by a student in the assignment of a grade, or are adversely affected by some other action. This flier describes recommended practices that will enable you to avoid or handle such situations more effectively. Please read it carefully and implement the suggestions. It will help you in protecting and exercising your rights as you practice your profession. Should you encounter a problem, you can receive advice and assistance in its resolution from the AAUP chapter on your campus, and from the national AAUP office (1-800-424-2973). BASIC DOCUMENTATION One of the keys to the satisfactory resolution of any misunderstanding or dispute is objective information. You must be able to document your claims as precisely as possible. read and retain the following items: (1) letter of appointment (initial and all subsequent reappointment letters); (2) faculty handbook, if one exists; (3) faculty union contract, if you are employed at an institution whose faculty is represented by a collective-bargaining agent; and (4) any other documents referred to in the letter of appointment or contract. The foregoing documents provide the basis for protection of your rights related to your campus career. Unfortunately, a faculty member may not familiarize him/herself with these materials, especially items (2), (3), and (4). Consequently, he/she is unaware of faculty rights and of the processes of resolving disputes which may arise at some time in oneÕs career. Unless you are cognizant of the contents of these documents, you may not know the appropriate action to take in order to counter payroll check errors, mispayment of retirement contribution, involuntary reassignment of duties, violations of academic freedom, and other difficulties. Faculty should expect to receive detailed expectations regarding tenure and promotion (e.g., relative weighting of teaching, research, and public service in the department of appointment). Also, a faculty member should obtain clear information concerning the number of classes and preparations anticipated in future years of employment. The university should provide every employee with a written statement or listing and description of fringe benefits. It should include the name of the insurance carrier or the benefit program, the cost, if any, to the faculty member, eligibility requirements, limitations on coverage, the name of the campus benefits office, and the telephone number of that office. Standard benefits include (1) a retirement system (social security, a state retirement plan and/or a private plan such as TIAA); (2) medical insurance; (3) group life insurance; (4) temporary income maintenance systems such as sick leave, temporary disability, or long-term disability coverage; (5) sabbaticals; and (6) leave of absence policies. Some institutions provide additional benefits such as supplemental retirement annuities, dental care coverage, and tuition assistance programs. Hence, read and retain every important document you receive from the college or university. DEFINITION OF FACULTY GRIEVANCES In the course of your career, you may become involved in employment disputes, or grievances. What is a faculty grievance? Generally, it is an action judged by a faculty member (or group of faculty) to affect directly and adversely academic freedom, economic conditions, professional status, or some other condition of employment. Included among grievances are disputes relating to interpretation of an appointment letter or a collective-bargaining contract, enforcement of college or university regulations governing faculty conduct, and decisions such as assignment of academic duties, salary determination, and other departmental faculty determinations. Thus, grievances can arise from administrator, colleague, or student action related to oneÕs professional status. Among the problems you might encounter are the following: 1. challenge to your academic freedom 2. incorrect payroll checks 3. incorrect FICA deductions 4. incorrect or delayed payment to your retirement fund 5. incorrect information placed in your official personnel file 6. allegations of sexual harassment of students or colleagues 7. inappropriate teaching or research assignment 8. violation of review procedures for tenure and promotion 9. discrimination based on age, sex, handicap, race, religious background, or sexual preference 10. involuntary repositioning within an institution, e.g., from teaching/research to research only, or from 12-month assignment to 9-month assignment 11. alleged harassment by colleagues, department head, and/or dean 12. arbitrary assignment of workloads 13. unilateral alteration of the terms of your appointment You may believe that use of the grievance procedure is an impolite, improper, or dangerous way to resolve differences. Or you may be reluctant to initiate grievances for fear of embarrassment or retaliation. (Sometimes, too, people feel uneasy about what has happened to them, but are uncertain about whether it is a ÒgrievableÓ issue; the best advice is, when in doubt, donÕt be embarrassed to ask.) You should understand that the administration and the faculty have agreed that this is the appropriate and proper procedure to use if a faculty member believes that an action violates a provision of the faculty handbook or the contract. The grievance is a legal, regular, and confidential procedure. To determine if you have a grievance, you should ask yourself the following questions: 1. Have I been unfairly treated? 2. Has some past practice or precedent at the institution been violated? 3. Has a faculty union contract or faculty handbook provision been violated? If you answer yes to one or more of these questions, you probably have a grievance that merits resolution. WHAT TO DO IF YOU THINK YOU HAVE A GRIEVANCE The first step is to gather facts quickly. Refer to the college or university documents and correspondence which you have read and retained. Memos and letters that are dated and state the facts related to the alleged grievance are very important in resolving an issue. Attempt to leave a Òpaper traceÓ as soon as you are aware of a problem. Write memos of inquiry, requests for information. Retain copies of all letters/memos and responses. If you attend meetings on the issue, make careful notes of the dates, who was present, and what was said. The most immediate appeal should be made in writing to the administrator whom you believe can rectify the situation. In some instances, you may need to go beyond the department head, who may be the person committing the alleged aggrieving behavior. You should become familiar with the proper channels to follow; frequently, the faculty handbook/contract provides details of the appropriate procedure. In many instances, you may need to use the faculty governance system to resolve a dispute. Wise faculty members know and participate in the governance system. For example, if incorrect deductions are being made on your paycheck, a letter accompanied by photocopies of documentation sent to the director of the payroll office should result in a correct pay voucher. You should identify the administrator or faculty committee official who can initiate action to eliminate an alleged inequity, and written contact should be made with that person. In some instances, you may misinterpret a faculty handbook or faculty contract provision. By seeking clarification from the appropriate person, it may be possible to correct the misinterpretation. On the other hand, if your understanding of the issue is correct, a written request and the subsequent reply may provide evidence for a further appeal. APPEALS A solution through direct consultation among the parties involved is the preferred but not the only mode available to you. If the informal approach to solving a dispute is not successful, then use of the formal grievance appeal process which is available through the college or university governance system or through a faculty collective-bargaining agent should be considered. You may, consistent with constitutional and statutory rights, file a grievance with the college or university governance system (a faculty affairs committee, ombudsperson, or faculty senate). Usually, a standing review committee examines the matter to determine if proper procedures were followed or if errors of fact, gross prejudice, capricious action, or violations of academic freedom influenced the decision(s) made. At most campuses, deadlines apply to the grievance process. Hence, timely action is absolutely necessary. Information for Protecting Against Possible Litigation by Students and/or Colleagues Unfortunately, the academic world is reflecting the trend of the wider society toward more and more litigation. Faculty members are increasingly vulnerable and it is wise to be prepared in the unlikely event that you find yourself the target of a lawsuit. The first thing to do is to discover to what extent college/university policies protect you for decisions made or actions taken while engaged in professional activities such as committee deliberations, classroom teaching, or laboratory supervision. This should also include an inquiry as to what kind of liability coverage is available while traveling on university business and/or using a university-owned vehicle. It is increasingly possible that litigation may arise in an area that has traditionally been in the preserve of academic freedom. Actions as a member of a tenure committee, as a member of a dissertation committee, or as an instructor who is accused of assigning grades in some biased way are all actions that can lead to legal challenges. For example, the importance of following correct college/university procedures when you discipline a student for cheating or plagiarism cannot be overemphasized. Charges against a student can be dismissed, and the faculty member may become liable for a slander or libel suit for failing to apprise the student of his or her rights under academic due process (a review of the institutionÕs student rights handbook, if one exists, is imperative). The substance of a charge against a student may become irrelevant when there are procedural violations. You are urged to inform all students of the definitions of violations of academic honesty in writing at the beginning of the academic term and familiarize yourself with college and/or university disciplinary procedures. Furthermore, you should discover whether the college/university has an ombudsperson or equivalent officer, who usually is an invaluable source of information on student versus faculty disputes, including the usual academic honesty problems plus problems with discrimination and sexual harassment. This document is reproduced with the permission of the Michigan Conference of AAUP. These are general guidelines, applicable to a variety of institutions. For faculty rights at UTK, consult the Faculty Handbook (January 1987).