Tennessee Technological University

Faculty Handbook

Academic Freedom, Responsibility, and Tenure Policy
I. Introduction
The following policy on academic freedom, responsibility, and tenure is in compliance with the Board of Regents Policy on Academic Freedom, Responsibility, and Tenure (5:02:03:00) (adopted by the Board, September 19, 1986) and embodies all provisions, definitions, and stipulations of the Board Policy.   http://www.tbr.state.tn.us/policies_guidelines/personnel_policies/5-02-03-00.htm
II. Academic Freedom and Responsibility
Tennessee Technological University recognizes the principle of academic freedom, pursuant to which:
A. A faculty member is entitled to freedom in the classroom in discussing his or her subject, being careful not to introduce into the teaching controversial matter which has no relation to the subject;
B. A faculty member is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of his or her other academic duties; but research for pecuniary gain must be based upon an understanding with the authorities of this institution; and
C. A faculty member is a citizen, a member of a learned profession, and an officer of this University. When a faculty member speaks or writes as a citizen, he or she shall be free from institutional censorship or discipline, but his or her special position in the community imposes special obligations. As a man or woman of learning and an educational officer, he or she should remember that the public may judge the profession and the institution by a faculty member's utterances. Hence, a faculty member 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 or she does not speak for this University.
Academic freedom, responsibility, and tenure are indissolubly linked concepts. Academic freedom is essential to fulfill the ultimate objectives of an educational institution -- the free search for an exposition of truth -- and applies to teaching, research, and service. Academic freedom in teaching is fundamental for the protection of the rights of the faculty member in teaching and of the student to freedom in learning; freedom in research is fundamental to the advancement of truth; and freedom in service is fundamental to the advancement of this University, the profession, and the community. Implicit in the principle of academic freedom are the corollary responsibilities of the faculty who enjoy that freedom. Incompetence, indolence, intellectual dishonesty, serious moral dereliction, arbitrary and capricious disregard of standards of professional conduct and other grounds as set forth in section III. O may constitute adequate cause for dismissal or other disciplinary sanctions against faculty members subject to the provisions of section III below. The right to academic freedom imposes upon the faculty an equal obligation to take appropriate professional action against faculty members and administrators who are derelict in discharging their professional responsibilities. Thus, academic freedom and academic responsibility are interdependent, and academic tenure is adopted as a means to protect the former while promoting the latter. Tenure is a means to certain ends; specifically: (1) freedom in teaching and research, in service activities, and when speaking or writing as a citizen, 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 this institution in fulfilling its obligations to its students and to society. While academic tenure is essential for the protection of academic freedom, all faculty members, tenured or non-tenured, have an equal right to academic freedom and bear the same academic responsibilities implicit in that freedom.
III. Policy on Academic Tenure
A. Definitions
The following are general definitions of words and terms used in this policy which are not herein specifically defined; however, the words and terms are subject to further qualification and clarification in the relevant sections of this policy.
1. Academic Appointment -- a personnel status (as distinct from an assignment of responsibilities) in an academic department pursuant to which professional services in the areas of instruction, scholarship, and/or public and professional service are retained by the University from a faculty member. Academic appointments shall be made with academic rank, and may be temporary, tenure-track, or with tenure (see section III. D).
2. Academic Department/Academic Unit -- an academic organizational unit (e.g., a department or division) or program, including the Library, within the University, generally devoted to the pursuit of a specific discipline, in which a faculty member holds academic appointment.
3. Academic Rank -- an element of faculty status limited to individuals who meet the minimum criteria established in the Policy on Academic Appointments and Promotions, Tennessee Technological University, and consisting of the levels of instructor, assistant professor, associate professor, and professor.
4. Academic Tenure -- defined in Board Policy 5:02:03:00 as "a personnel status in an academic organizational unit (e.g., a department or division) or program of a college, university, or institute pursuant to which the academic year appointments of full-time faculty who have been awarded tenure are continued at an institution until the expiration or relinquishment of that status, subject to termination for adequate cause, for financial exigency, or for curricular reasons." The definition of academic tenure is further discussed and clarified in sections II and III of this policy.
5. Adequate Cause -- a basis upon which a faculty member, either with academic tenure or a tenure-track or temporary appointment prior to the end of the specified term of the appointment, may be dismissed. The specific grounds which constitute adequate cause are set forth in section III.O.
6. Board/Board of Regents/TBR -- the Board of Regents of the State University and Community College System of Tennessee.
7. Faculty Member -- a member of the academic profession (including professional librarians) who, except where otherwise specified, holds a full-time appointment with academic rank, and whose responsibilities primarily include instruction, scholarly activity, and/or public and professional service.
8. Financial Exigency -- the formal declaration by the Board that the University faces an imminent financial crisis, that there is a current or projected absence of sufficient funds (appropriated or non-appropriated) for the University as a whole to maintain current programs and activities at a level sufficient to fulfill its educational goals and priorities, and that the budget can only be balanced by extraordinary means which include the termination of existing and continuing academic and non-academic appointments (see Financial Exigency Procedures, Tennessee Technological University).
9. Peers/Departmental Peers -- in the context of this policy, the terms "peers" and "departmental peers" refer to those regular, full-time tenured members of the departmental faculty whose professional responsibilities to the university lie in the areas of instruction, scholarship, and/or public and professional service; it does not include those whose primary responsibilities are administrative, such as departmental chairpersons, directors of Centers of Excellence, assistant and associate deans, deans, assistant and associate vice-presidents, vice-presidents, the President, and any others in similar situations.
10. President -- the President of Tennessee Technological University.
11. Probationary Employment -- a period of full-time professional service by a faculty member for whom a letter of appointment denotes a tenure-track appointment in which he or she does not have tenure and in which he or she is evaluated by the University for the purpose of determining his or her satisfaction of the criteria for a recommendation for tenure.
12. "Program is deleted from the curriculum" -- in section III. M. means that the Board takes formal action to terminate a degree major, concentration, or other curricular component and that such termination eliminates or reduces need for faculty qualified in that discipline or area of specialization.
13. "Substantive and continued reduction of student enrollment in a field" -- in section III. M. means that over a period of at least three (3) years student enrollment in a field has decreased at a rate in considerable excess of that of this University as a whole and that such reduction has resulted in faculty-student ratios which, in the opinion of the President, cannot be warranted either by comparison with equivalent faculty load practices within this University or by comparisons with faculty loads in comparable departments or divisions at similar institutions which the President would deem to be appropriate for comparison.
14. University/this institution / TTU -- Tennessee Technological University
B. Academic Tenure
Tenure is a status pursuant to which faculty appointments for the academic year are continued until retirement for age or physical or mental disability, subject to dismissal for adequate cause or unavoidable termination on account of financial exigency or curricular reasons. While a faculty member holds rank in a particular academic department, and while eligibility and recommendation for tenure, subject to the requirements of this policy, devolve from the professional judgment of tenured peers in the academic department to which the faculty member is assigned, the University as a whole has responsibility for the protection of academic freedom and the other rights of the faculty member which tenure is designed to safeguard. Tenure is awarded only by positive action by the Board, pursuant to the requirements and procedures of this policy. The award of tenure is a recognition of the merits of a faculty member and of the assumption that he or she meets the long-term staffing needs of the academic department and the University; tenure is only awarded to those members of the faculty who have exhibited professional excellence and outstanding abilities sufficient to demonstrate that their future services and performances justify the degree of permanence afforded by academic tenure.
C. Minimum Eligibility Requirements for Consideration for Academic Tenure
1. Academic tenure may only be awarded to full-time faculty members who: (a) hold academic rank as instructor, assistant professor, associate professor, or professor and meet the minimum rank criteria for the rank held under the Policy on Academic Appointments and Promotions, Tennessee Technological University; (b) have been employed pursuant to tenure-track appointments and have completed not less than the minimum probationary period of service (see Section III. E.); and (c) have been determined by this institution to meet the criteria for recommendation for tenure (see Section III. H.) and have been so recommended pursuant to this policy.
2. Faculty holding temporary appointments are not eligible for tenure.
3. Faculty members whose appointment was initiated as a result in whole or in major part of funds available to the University on a short-term basis, such as grants, contracts, or foundation sponsored projects, shall not be granted tenure unless continuing support for such faculty members can be clearly identified in the regular budget of the University at the time of recommendation of tenure to the Board.
4. No faculty member shall be eligible for tenure in a non-faculty position; provided that where a faculty member with tenure is appointed to a non-faculty position, he or she will retain tenure in his or her former faculty position only; and further provided that a faculty member who also holds a non-faculty position may be awarded tenure in the faculty position only, subject to the requirements of this policy.
D. Types of Appointments
There are three types of academic appointments: temporary appointments, tenure-track appointments, and tenure appointments.
1. Temporary appointments are appointments for a specific purpose for a time appropriate to that purpose or for an unspecified period, which appointments may be terminated according to the terms of the appointments. Temporary appointments ordinarily should be used for lecturers, adjunct or part-time faculty, faculty employed to replace regular faculty on leave of absence, and faculty employed pursuant to grants or for projects funded in whole or in major part by non-appropriated funds. In addition, temporary appointments may be used for faculty employed on the basis of state appropriated funds where the permanent and continued need for the position has not been established, provided that such appointments normally will not exceed three academic years. Appointments of faculty members supported by more than 50% grant funding, or other soft money sources, may be approved by the President for periods of greater than three years. Other extensions of temporary appointments for periods of greater than three years will require the approval of the Chancellor.
2. Tenure-track appointments are appointments of regular full-time faculty with academic rank, and may be for the academic or fiscal year. Tenure-track appointments are for faculty who are employed in a probationary period preliminary to consideration for tenure. Tenure-track appointments shall not include any right to permanent or continuous employment, shall not create any manner of legal right, interest or expectancy of renewal or any other type of employment, and shall be subject to annual renewal by the University.
3. Tenure appointments are appointments of full-time faculty who have been awarded tenure pursuant to the provisions of this policy. Tenure appointments include the assurance of continued employment for the academic year for an indefinite period, subject to expiration, relinquishment or termination of tenure as hereinafter provided. Such appointments do not include assurance of continued employment at any specified salary or position or employment during summer sessions or inter-sessions.
E. Probationary Employment
1. Faculty may be employed on annual tenure-track appointments for a maximum probationary period which may not exceed seven years. A tenure-track faculty member must be considered for a tenure recommendation by the President during the fifth year of his or her probationary period; exceptions to the minimum probationary period may be made under special circumstances upon recommendation by the President and the Chancellor and approval by the Board.
2. The minimum probationary period of five years may include credit for prior service when agreed to by the President, and subject to the maximum permissible credit for prior service, pursuant to Section III. G.
3. Employment during summer terms, in part-time positions, or during periods of leaves of absence (except in the circumstance described in (4) below) shall not be credited toward satisfying the probationary period.
4. Only full-time continuous service at Tennessee Technological University shall be included in determining completion of the probationary period, except where a break in service was pursuant to an approved leave of absence. The period of approved leave of absence shall be excluded from the requisite period for completion of the probationary period unless the President specifies in writing prior to the leave of absence that it shall be included in the probationary period. In no case shall more than one year of approved absence be included in determining completion of the probationary period.
5. Where a faculty member is appointed to a non-faculty position prior to being awarded tenure at this University, if he or she maintains a significant involvement in academic pursuits such as teaching and scholarship, the time or a prorated portion of the time spent in the non-faculty position may be credited toward completion of the probationary period. At the completion of the probationary period, the tenured peers in the academic department in which the faculty member holds academic rank will be asked, as part of the tenure process, to make a recommendation concerning tenure and transmit it to the departmental chairperson.
6. Where a faculty member is serving a probationary period in an academic department and is subsequently transferred to another academic department in accordance with Section N. of this Policy, the faculty member may request of the President at the time that the transfer is effected that a new probationary period begin with the transfer.
7. For faculty on annual tenure-track appointments, the departmental chairperson shall, as part of the faculty member's annual evaluation and in consultation with the tenured members of the departmental faculty, assess whether or not the faculty member is making satisfactory progress toward achieving tenure and convey this information to the faculty member along with suggestions for improvement. By December 1 (second year tenure-track faculty follow a different time line as defined in Appendix 2), the departmental chairperson shall ask each tenure-track faculty member to compile a dossier of information similar to that required by Form T3. No letters of recommendation shall be included in the dossier. This dossier is to be completed and made available to departmental peers by January 15. The departmental chairperson shall call a meeting of the departmental peers, to be held no later than February 1, at which the tenure-track faculty member's qualifications will be discussed and the peers will each fill out Form T15, thereby conveying to the departmental chairperson their assessment of the faculty member's progress toward tenure. The Chairperson of the Department shall communicate in writing to the faculty member the results of this assessment. In the event that the faculty member's performance is such as to justify non-renewal during the probationary period, the decision not to renew the appointment shall be made by the departmental chairperson in consultation with the tenured departmental peers, and with the approval of the appropriate administrative officers.
F. Non-Renewal of Non-Tenured Faculty
1. When tenure-track appointments of faculty shall not be renewed for further service, the faculty members shall receive notice of their non-retention for the ensuing academic year as follows:
a. not later than March 1 of the first academic year of service, if the appointment expires at the end of that year; or, if the appointment terminates during an academic year, at least three months in advance of its termination; or
b. not later than December 15 of the second year of service, if the appointment expires at the end of that year; or, if the appointment terminates during an academic year, at least six months in advance of its termination; or
c. not later than the close of the academic year preceding the third or subsequent year of service, if the appointment expires at the end of that year; or, if the appointment terminates during an academic year, at least twelve months in advance of its termination.
The above stated dates are the latest dates for notice of non-renewal of faculty on tenure-track appointments. Notice of non-renewal shall be effective upon personal delivery of written notice to the faculty member, or upon the date the notice is mailed by registered letter to the faculty member at his or her current home address of record at the University.
Dates for non-renewal are in no way affected by any credit for prior service which may be awarded pursuant to Section III. G. of this policy.
2. When a faculty member on a tenure-track appointment completes the sixth year of the probationary period, the faculty member will either be recommended for tenure by the President or will be given notice that the appointment will terminate following the seventh year of service. Such notice of non-renewal shall be given not later than the final day of the sixth academic year. The faculty member's right in an instance where timely notice is not given is described below in Section III. I.1.
3. Faculty members on tenure-track appointments shall not be terminated during the annual specified term of appointment except for reasons which would constitute adequate cause for the termination of tenured faculty.
4. The non-renewal or non-reappointment of any faculty member on a tenure-track appointment does not necessarily carry an implication that his or her work or conduct has been unsatisfactory. A faculty member whose tenure-track appointment is not renewed shall be given an oral statement of the reason or reasons for the non-renewal by the President or his or her designated representative(s).
5. A tenure-track faculty member who is dissatisfied with the reasons given for the non-renewal of his or her appointment may appeal that decision through the Faculty Affairs Committee and/or the Tennessee Technological University Grievance and Complaint Policy or through a committee specifically empowered by the President to hear such appeals.
G. Credit for Prior Service
1. Credit toward completion of the probationary period may, at the discretion of the President, be given for a maximum of three years of previous full-time service at other colleges, universities or institutes, provided that the prior service is relevant to this University's own needs and criteria. Years of credit for prior service will be accepted in lieu of the final, not the initial, year(s) of the probationary period (e.g., one year of credit for prior service will be accepted in lieu of the fifth year of the probationary period, etc.). Any credit for prior service which is recognized and agreed to must be confirmed in writing at the time of the initial appointment.
2. Credit toward completion of the probationary period may, at the discretion of the President, be given for a maximum of three years of previous full-time service in a temporary faculty appointment at this University (see Section III. D.1.) or in an earlier tenure-track appointment at this University which has been followed by a break in service (see Section III. E.4.). Any credit for prior service in a temporary full-time faculty appointment or in an earlier tenure-track appointment which has been followed by a break in service must be recognized and confirmed in writing in the letter of appointment to a subsequent tenure-track position.
H. Criteria to be Considered in Tenure Recommendations
The nature and relative importance of the criteria for a recommendation for tenure depend upon the nature, mission, and goals of the University and of the academic department in which the faculty member holds academic rank. The recommendation for tenure, subject to the requirements of this policy, shall devolve from the professional judgment of tenured peers in the academic department in which the faculty member holds academic rank, the tenured peers acting as that segment of the wider community of scholars best qualified to evaluate the performance of the faculty member in the performance of his or her professional services. Recommendation shall be based upon the faculty member's performance of his or her professional responsibilities as established in the Agreement on Responsibilities, including responsibilities in teaching and/or scholarship and/or service, and on the suitability of his or her character, attitude, and personality, including ability to interact effectively with colleagues, administrators, staff, and students. Recommendation of tenure for librarians shall be based upon the performance of professional library responsibilities. The faculty member is expected to maintain minimum professional levels of performance consistent with the weightings agreed upon in the Agreement on Responsibilities. Greater specificity is provided in the  Tennessee Technological University, which constitutes the process section of this policy (Form T13). At this point, it is sufficient to state emphatically (1) that the faculty member is assumed to have been trained professionally in an academic discipline, (2) that the faculty member is aware of the standards of excellence in his or her discipline, (3) that the faculty member's principal responsibility is to practice that discipline in pursuit of excellence to the limits of individual capacity and institutional duties, and (4) that the faculty member's success will be determined by the professional judgment of his or her tenured peers. This determination shall, consistent with this policy, establish the basis for the faculty member's recommendation for tenure. The award of tenure is a recognition of the merits of a faculty member and of the assumption that he or she meets the long-term staffing needs of the academic department and the University. The long-term staffing needs of the academic department and the University are taken into account at each level in the review process when candidates are evaluated for tenure. Criteria to be considered may include enrollment patterns, program changes, potential for staff additions, and prospective retirements and resignations. For promotion considerations, see Policy on Academic Appointments and Promotions, Tennessee Technological University.
I. Award of Tenure
1. No faculty member shall be entitled to or acquire any interest in a tenure appointment at this University without a recommendation for tenure by the President and an affirmative award of tenure by the Board. No other person shall have any authority to make any representation concerning tenure to any faculty member. Failure to give timely notice of non-renewal of a contract shall not result in acquisition of a tenure appointment, but shall result in the right of the faculty member to an additional year of service at the University.
2. Recommendations for or against tenure of eligible faculty members should originate from the department in which the faculty member holds academic rank, shall include appropriate participation in the recommendation by tenured peers in that department, and shall comply in every respect with established procedures of the University. This policy shall be interpreted in a manner consistent with the Tennessee Public Records Act, as recorded in T. C. A. Sections 10-7-101 et seq. The recommendation for tenure must be made by the President to the Chancellor and by the Chancellor to the Board. In the event that tenure is awarded by the Board, the President shall furnish to the faculty member written confirmation of the award.
3. The process section required by Section III.9.c of Board Policy 5:02:03:00 is covered by the Tenure Procedures and Forms List, Tennessee Technological University.
4. Proposed changes in the process for student evaluation of instruction will be submitted to the TTU Student Government Association for consideration and reaction. The SGA will review the uses of student evaluation of instruction on a regular basis and will bring its questions, concerns and suggestions to the Academic Council.
J. Expiration of Tenure
Tenure status shall expire upon retirement of the faculty member. Tenure shall also expire upon the event of a faculty member's permanent physical or mental inability, as established by an appropriate medical authority, to continue to perform his or her assigned duties.
K. Relinquishment of Tenure
A faculty member shall relinquish or waive his or her right to tenure upon resignation from this University or upon failure to report for service at the designated date of the beginning of any academic term, which shall be deemed to be a resignation unless, in the opinion of the President, the faculty member has shown good cause for his or her failure to report. Where a tenured faculty member is transferred or reclassified to another department of this University, the transfer or reassignment shall be with tenure. Tenure shall not be relinquished during approved leaves of absence, or during periods of service in non-faculty positions at this University.
L. Termination of Tenure for Reasons of Financial Exigency
A tenured appointment of a faculty member may be terminated as a result of financial exigency at this University, subject to a declaration by the Board that such conditions exist. All decisions, including those pertaining to tenured faculty, will comply with the Financial Exigency Procedures of Tennessee Technological University.
M. Termination of Tenure for Curricular Reasons
The appointment of a tenured faculty member may be terminated (1) because a program is deleted from the curriculum, or (2) because of substantial and continued reduction of student enrollment in a field. Each of these reasons must denote shifts in staffing needs that warrant greater reductions than those which can be accommodated by transferring appointments from one department to another to handle changing enrollment patterns.
Prior to declaring that curricular reasons exist which warrant the termination of appointments of tenured faculty, determining where such terminations might be required, or initiating the procedures described below, the President shall ensure meaningful participation by the Faculty Senate in making such decisions. The President shall inform the Faculty Senate of all considerations which might warrant the termination of tenured appointments for curricular reasons, and shall work with that body in identifying specific curricular reasons, considering alternatives to termination, evaluating the long-term effect of shifting enrollment patterns on the University's curricula, mission, and strategic planning goals, and determining where such reductions in faculty might best be made in light of which actions would least seriously compromise the educational programs of the University. These decisions shall take into account the extraordinary nature of such conditions, as outlined in paragraph one above, and shall be based upon careful assessment of the impact of any proposed actions on the staffing requirements of the academic department, as compared to overall patterns of faculty responsibilities in comparable academic departments within the University and in other institutions similar enough to warrant comparison.
The Faculty Senate shall have the opportunity of responding in writing to the President on all matters relating to any proposed termination of tenured appointments before the action described below is initiated.
1. It having been determined by the President, after consultation with the Faculty Senate, that termination of employment of one or more faculty members is warranted for curricular reasons and where such terminations might best be made, the order of faculty reductions within an academic department shall take place according to the following order, unless the President demonstrates (preferably by means of past annual performance evaluations) that an exception should be made to reduce qualitative compromise of an educational program.
a. Before tenured faculty are dismissed, part-time faculty should not be renewed.
b. Before tenured faculty are dismissed, temporary faculty or tenure-track faculty in the probationary period should not be renewed.
c. Among tenured faculty, those with lower rank should be dismissed before those with higher rank.
d. Among tenured faculty with comparable rank, those with lower academic degrees should be dismissed before those with appropriate higher academic degrees.
e. Among tenured faculty with comparable rank and comparable degrees, those with less seniority in rank should be dismissed before those with greater seniority.
2. When a tenured faculty member is to be dismissed for curricular reasons, the President will make every possible effort to relocate the tenured faculty member in another existing vacant position for which he or she is qualified. In instances where relocation within the University is a viable alternative, the institution has an obligation to make significant effort to relocate the faculty member, including the bearing of reasonable retraining costs. The decision to relocate lies within the discretion of the President, subject to appeal to the Chancellor and the Board.
3. Upon determining that termination of the appointment of one or more tenured faculty members is required for curricular reasons, the President shall furnish each faculty member to be dismissed with a written statement of the reasons for the termination. Those reasons shall address fully the curricular circumstances which warrant the termination and shall indicate the manner and the information upon which the decision was reached to dismiss that particular faculty member. The President's written statement shall also indicate that the faculty member has the opportunity to respond in writing stating any objections to the decision.
4. If the faculty member to be dismissed indicates objections to the President's written statement(s) and request a review, that review shall be conducted by the Faculty Affairs Committee. That committee shall conduct a hearing on each review requested, considering, inter alia, the identification of the academic department in which reduction are required, the order of reductions within the department, any exceptions to the normal order of reductions, and the possibility of relocation within this University. The committee shall report its findings and recommendations to the President, who shall, in a reasonable time, inform in writing the faculty member proposed to be dismissed either that the decision for dismissal stands or that it has been altered.
5. The President's decision to terminate the appointment of a tenured faculty member for curricular reasons may be appealed to the Chancellor and the Board as provided in the Policy on Appeals to the Chancellor and Board (TBR Policy 1:02:11:00).
6. When a tenured faculty member's appointment is terminated for curricular reasons, the position will not be filled by a new appointee with the same area(s) of specialization as the dismissed faculty member within a period of three years unless the dismissed faculty member has been offered, in writing, reappointment to the position at his or her previous rank and salary (with the addition of an appropriate increase which, in the opinion of the President, would constitute the raise which would have been awarded during the period that he or she was not employed), and with tenure.
7. Since the primary responsibility for the curriculum is vested in the faculty, and to prevent the inadvertent creation of situations in which curricular reasons for the dismissal of tenured faculty members might arise, no decision shall be made to create, combine, dissolve, or otherwise reorganize academic departments, colleges, or schools of the University without the prior participation of the Academic or Administrative Council, whichever is appropriate, and of the faculty members involved.
N. Transfer of Tenure for Curricular Reasons
Tenured faculty may have their academic appointments transferred within the University to accommodate the changing needs of the University. Prior to implementing any such transfer, the tenured faculty member and the department in which his/her new academic appointment is to be located shall be consulted and informed of the reasons for the proposed transfer. The peers in the receiving academic department shall vote to advise the President of the acceptability of the tenured faculty member being considered for transfer. Where a tenured faculty member is transferred to another academic department other than that with which he/she was originally associated, the transfer is with tenure. In no instance may the faculty member be compelled to relinquish tenure (Section III. K.) as a condition for effecting the transfer or relocation.
Tenure-track faculty on probationary appointments may have their academic appointments transferred within the University to accommodate the changing needs of the University. Prior to implementing any such transfer, the tenure-track faculty member and the department in which his/her new academic appointment is to be located shall be consulted and informed of the reasons for the proposed transfer. The tenure-track faculty member may request that a new probationary period begin at the time of the transfer. The tenured faculty members in the receiving academic department shall vote to advise the President of the acceptability of the tenure-track faculty member being considered for transfer and whether to credit the tenure-track faculty member with the years of prior service completed in the previous academic department.
For the transfer of either a tenured or a tenure-track faculty member from one academic department to another, both the faculty member and the receiving department shall be consulted concerning the transfer and, in the case of a tenure-track faculty member, concerning the probationary period required in the receiving department. In either type of transfer, no tenure committee shall be formed, and no dossier compiled. However, in the case of a tenure-track faculty member, the information compiled in the faculty member's former department, including tenure-track reviews, shall be transferred to the receiving department.
In cases involving transfers resulting from reorganizations of entire programs, departments, colleges, or schools, the President shall also carry out procedures similar to those described in Section III. M. for termination of tenure for curricular reasons. In such transfers resulting from reorganization, the same principles apply as stated above, viz., all tenured faculty retain their tenured status, and both the faculty members and the receiving units shall be consulted concerning the transfer.
O. Termination for Adequate Cause
A faculty member with tenure or a faculty member on a tenure-track or temporary appointment prior to the end of the term appointment may be dismissed for adequate cause, which includes the following:
1. Incompetence or dishonesty in teaching or research.
2. Willful failure to perform the duties and responsibilities for which the faculty member was employed, or refusal or continued failure to comply with the policies of the Board, the University, or the department, or to carry out specific assignments, when such policies or assignments are reasonable and non-discriminatory.
3. Conviction of a felony or a crime involving moral turpitude.
4. Improper use of narcotics or intoxicants, which substantially impairs the faculty member's fulfillment of his or her departmental and institutional duties and responsibilities.
5. Capricious disregard of accepted standards of professional conduct.
6. Falsification of information on an employment application or other information concerning qualifications for a position.
7. Failure to maintain the level of professional excellence and ability demonstrated by other members of the faculty in the department of the University in which he or she holds academic appointment.
P. Procedures for Termination for Adequate Cause
Termination of the appointment of a faculty member with tenure or with a tenure-track or temporary appointment prior to the end of the annual specified term of the appointment shall be subject to the following procedures.
1. The proposed termination shall be preceded by: (a) discussion between the faculty member and appropriate administrative officers looking toward a mutual settlement and (b) informal inquiry by the Faculty Affairs Committee, which committee may, failing to effect an adjustment, determine whether in its opinion dismissal proceedings should be undertaken, without its opinion being binding upon the President.
2. A dismissal will be preceded by a written statement of reasons, and the faculty member concerned shall have the right to be heard by a hearing committee consisting of members of the faculty and administration, whose appointments should be, but are not required to be, agreed to by the faculty member, but not including any member of the Faculty Affairs Committee. The hearing committee shall consist of five members, two of whom shall be appointed by the President and three of whom shall be appointed by the President of the Faculty Senate. Members deeming themselves disqualified by reason of bias or interest shall recuse themselves from the case. Members challenged by the faculty members concerned for these same reasons should, but are not required to be, recused. Vacancies created in this manner shall be filled in the same manner as the initial appointments. The hearing committee shall observe the following procedures.
a. Pending a final recommendation by the hearing committee, the faculty member will be suspended or assigned to other duties in lieu of suspension, only if immediate harm to himself or others is threatened by his continuance. Before suspending a faculty member, pending an ultimate determination of his status through the University's hearing procedures, the administration shall consult with the Faculty Affairs Committee concerning the propriety, the length, and the other conditions of the suspension. Suspension is appropriate only pending a hearing, and a suspension which is intended to be final is a dismissal, and will be treated as such. Salary shall continue during the period of suspension.
b. The hearing committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties in order to: (1) define and clarify the issues, (2) effect stipulations of facts, (3) provide for the exchange of documentary or other information, and (4) achieve other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.
c. Service of notice of hearing, with a statement of the time and place of the hearing and with specific charges in writing, will be made at least twenty days prior to the hearing. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing, but denies the charges against him or her or asserts that the charges do not support a finding of adequate cause, the hearing committee will evaluate all available evidence and rest its recommendation upon the evidence in the record.
d. During the proceedings the faculty member will be permitted to have an academic advisor and counsel of his or her own choice.
e. A verbatim record of the hearing or hearings shall be taken and a typewritten copy will be made available to the faculty member without cost, at the faculty member's request.
f. The burden of proof that adequate cause exists rests with this University and shall be satisfied only by clear and convincing evidence in the record considered as a whole.
g. The faculty member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration shall cooperate with the hearing committee in securing witnesses and making available documentary and other evidence.
h. The faculty member and the administration shall have the right to confront and cross-examine all witnesses. Where the witnesses cannot or will not appear, but the committee determines that the interests of justice require admission of their statements, the committee shall identify the witnesses, disclose their statements, and if possible provide for interrogatories.
i. In the hearing of charges of incompetence, the testimony shall include that of qualified faculty members from this University or other institutions of higher education.
j. The hearing committee shall not be bound by strict rules of legal evidence, and may admit any evidence which is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.
k. The findings of fact and the decision shall be based solely 
l. Except for such simple announcements as may be required, concerning the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers shall be avoided so far as possible until the hearings have been completed, including consideration by the Board. The President and the faculty member shall be notified of the decision in writing and will be given a copy of the record of the hearing.
m. If the hearing committee concludes that adequate cause for dismissal has been established by the evidence in the record, the faculty member may appeal the determination to the President within ten days of the hearing committee's decision. The hearing committee may recommend to the President, with supporting reasons, that an academic penalty less than dismissal would be more appropriate. If the hearing committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it shall so report to the President, who may reject the report with a written statement of reasons. Any decision by the President may be appealed to the Board within twenty calendar days of the decision pursuant to the following subsection.
3. If dismissal or other severe sanction is recommended, the President shall, upon request of the faculty member, pursuant to TBR Policy # 1:02:11:00, transmit to the Chancellor the record of the case. The Board's or its designee's review shall be based on the record of the committee hearing, and it shall provide opportunity for written argument by the principals or by their representatives. The decision of the President shall either be sustained, or the proceeding returned to the President with specific objections. The President shall then reconsider, taking into account the stated objections, and return the case to the hearing committee if necessary. The Board or its designee shall make a final decision only after study of the President's reconsideration.
IV. Effective Date
This policy became effective on July 1, 1988, superseding the policy which became effective on July 1, 1976, as to all faculty then or thereafter employed at Tennessee Technological University. It was amended on April 29, 1992. The minimum qualifications and requirements for eligibility for an award of tenure shall apply to all faculty who had not previously been expressly awarded tenure by the Board. Faculty who had previously been awarded tenure retain their tenure status under this policy, subject to the terms and conditions of this policy.
The definition of tenure (see Section III. A.4. above) became effective January 1, 1984. That definition shall only apply to faculty tenured subsequent to the effective date. For faculty members tenured previous to January 1, 1984, the applicable definition of tenure shall be: "a status pursuant to which the academic year appointments of full-time faculty who have been awarded tenure are continued at an institution until the expiration or relinquishment of that status, subject to termination for adequate cause or for financial exigency or curricular reasons [see TBR Policy on Academic Freedom, Responsibility and Tenure adopted June 25, 1976]."
[Approved by the General Faculty, Fall 1997; approved by the TBR Summer, 1998.]

 

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