Policy on University Regulations on Academic Freedom and Tenure
Policy on University Regulations on Academic Freedom and Tenure
Purpose
To enable the University of Dayton to protect academic freedom and tenure and meet the requirements of academic due process.
Scope
University faculty.
Policy History
I. Effective Date: August 16, 1996
II. Approval: March 18, 2014
III. History:
- Approved in its original form: August 16, 1996
- Approved as amended: December 7, 1997
- Approved as amended: March 10, 2006
- Approved as amended: March 18, 2014
IV. Maintenance of Policy: Office of the Provost
Definitions
(a) “Faculty” status includes all persons whose activities affect the educational function of the institution, who are employed with full-time status and are affiliated with an academic department or the Library, and who have been granted faculty rank.
Policy
I. Statement of Terms of Appointment to the Faculty, University of Dayton
a. The terms and conditions of every appointment to the faculty will be stated or confirmed in writing, and a copy of the appointment document will be supplied to the faculty member. Any subsequent extensions or modifications of an appointment, and any special understandings, or any notices incumbent upon either party to provide, will be stated or confirmed in writing and a copy will be given to the faculty member.
b. With the exception of special appointments clearly limited to a brief association with the University, and reappointments of retired faculty members on special conditions, all full-time appointments to the rank of instructor or higher are of two kinds: (1) probationary appointments and (2) appointments with tenure. (An administrator to receive tenure must be assigned to an academic department and be on leave of absence therefrom).
c. Except for faculty members who have tenure status, faculty members with teaching or departmental research appointments of any kind will be informed each year in writing of their appointments and of all matters relative to their eligibility for the acquisition of tenure.
II. Probationary Appointments
a. Probationary appointments may be for one year or, for other stated periods, subject to renewal. The total period of full-time service prior to the acquisition of tenure will not exceed six (6) years, including all previous full-time service with the rank of instructor or higher in other institutions of higher learning, except that the probationary period may extend to as much as four (4) consecutive years at the University of Dayton, even if the total full-time service in the profession thereby exceeds six (6) years; the terms of such extension will be stated in writing at the time of initial appointment. Time spent on a leave of absence will count as probationary period service except in the following cases:
1. When a faculty member takes a leave of absence pursuant to Regulation 12 of this document (“Political Activities of Faculty Members”), the time spent on such a leave will not count as probationary service unless otherwise agreed to by the institution and the employee at the time the leave is granted.
2. A faculty member who takes a leave for at least one semester due to the birth of a child, the adoption or placement with the faculty member for foster care of a child, to care for a spouse, parent, son, or daughter who has a serious medical condition, or due to the faculty member’s own serious medical condition, may decide not to count as probationary service the academic year in which the leave occurs. Unless the faculty member indicates a contrary choice in writing at the time the leave is taken, the academic year in which the leave occurs does not count as probationary service. The terms in this subsection shall be defined in accordance with the definitions contained in the Family and Medical Leave Act of 1993 and the regulations promulgated thereunder.
3. When the individual and the institution so agree in writing at the time the leave is granted, the academic year in which the leave is taken will not count as probationary service.
4. If a faculty member is eligible for a leave of absence under subsection B.2 of this section, but chooses not to take such a leave of absence, the faculty member may choose to have the period for which they would have been eligible for a leave of absence not counted as probationary service. To have such time not counted as probationary service, the faculty member must notify in writing, their department chair, or if not assigned to an academic department, the dean or other principal academic officer of their unit, that they wish to have the time eligible for leave not counted as probationary service. Such notice must be provided to the appropriate person no later than the time specified for any notice which must be furnished to establish eligibility for the leave described in subsection B.2 of this section. (Amendment approved by the Academic Senate on October 11, 2002, Academic Senate document number 2002-03, Suspending the “Tenure Clock” for Tenure Track Faculty Members Eligible for Family or Medical Leave.
b. When the probationary period has been interrupted by a leave of absence that does not count as probationary service, or pursuant to subsection B.4 of this section, subsequent steps in the review process will be delayed by the amount of time excluded from probationary service. Further, in all subsequent reviews, the year in which the leave was taken will be excluded from the faculty member’s total years of service in determining the standards governing review of the faculty member. That is, for example, in tenure reviews of faculty members whose tenure “clock” was “stopped” during a leave of absence, the faculty member will not be judged at tenure review as though the “clock” had not been “stopped.”
c. Regardless of the stated term or other provisions of any appointments, written notice that a probationary appointment is not to be renewed will be given to faculty members in advance of the expiration of their appointments as follows:
(i). not later than three months prior to the termination of the contract of the first academic year of service, if the contract expires at the end of that year; or, if a one-year contract terminates during the academic year, at least three months in advance of its termination.
(ii). not later than six months prior to the termination of the contract of the second academic year of service, if the contract expires at the end of that year; or, if an initial two-year contract terminates during an academic year, at least six months in advance of its termination.
(iii). at least twelve months before the expiration of a contract after two or more years of service at the institution. The institution will normally notify faculty members of the terms and conditions of their renewals by March 15, but in no case will such information be given later than April 15.
III. Termination of Appointment by the Faculty Member
a. Faculty members may terminate their appointments effective at the end of an academic year, provided they give notice in writing at the earliest possible opportunity, but not later than April 15, or thirty days after receiving notification of the terms of their appointment for the coming year, whichever date occurs later.
b. Faculty members may properly request a waiver of this requirement of notice in case of hardship or in a situation where they would otherwise be denied substantial professional advancement or other opportunity.
IV. Termination of Appointments by the Institution
a. Termination of an appointment with tenure or of a special or probationary appointment before the end of the specified term may be effected by the University only for adequate cause, such as failure to fulfill a contractual obligation, moral turpitude, etc.
b. If termination takes the form of a dismissal, it will be pursuant to the procedure specified in the Regulations included in the section, Dismissal Procedures, below.
c. In every case of financial exigency or discontinuance of a program or department of instruction, the faculty member concerned will be given notice as soon as possible and never less than twelve months’ notice, or in lieu thereof the faculty member will be given severance salary for an academic year. Before terminating an appointment because of the abandonment of a program or department of instruction, the University will make every effort to place affected faculty members in other suitable positions. If appointment is terminated before the end of the period of appointment because of financial exigency or because of the discontinuance of a program of instruction, the released faculty member's place will not be filled by a replacement within a period of two years unless the released faculty member has been offered reappointment and a specified time within which to accept or decline it. In any event, the affected faculty member shall be able to have the issues reviewed by the Faculty Mediator and by the Faculty Hearing Committee on Academic Freedom and Tenure, with ultimate review of all controverted issues by the Board of Trustees.
d. Termination of a tenured appointment, or of a non-tenured or special appointment before the end of the period of appointment, for medical reasons, will be based upon clear and convincing medical evidence which shall, if the faculty member so requests, be reviewed by the Faculty Mediator and the Faculty Hearing Committee on Academic Freedom and Tenure before a final decision is made by the Board of Trustees on the recommendation of the President of the University of Dayton.
V. Dismissal Procedures
a. Adequate cause for a dismissal will be related, directly and substantially, to the fitness of faculty members in their professional capacity as teachers or researchers. Dismissal will not be used to restrain faculty members in their exercise of academic freedom or other rights of American citizens.
b. Dismissal of a faculty member with tenure, or with a special or probationary appointment before the end of the specified term, will be preceded by:
(i). discussions between the faculty member and appropriate administrative officers looking toward a mutual settlement;
(ii). informal inquiry by the duly elected Faculty Mediator, who may, failing to effect an adjustment, determine whether in his or her opinion dismissal proceedings should be undertaken, without that opinion being binding upon the President;
(iii). a statement of charges, framed with reasonable particularity by the President or his/her delegate.
c. A dismissal, as defined in Section (i.) above, will be preceded by a statement of reasons, and the individual concerned will have the right to be heard initially by the elected Faculty Hearing Committee. Members of the Committee will remove themselves from the case, either at the request of a party or on their own initiative, if they deem themselves disqualified for bias or interest. Each party will have a maximum of two challenges without stated cause.
(i). Service of notice of hearing 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 present a response, in writing, to the charges at any time before the hearing. If the faculty member does not waive a hearing, but instead denies the charges, asserts that the charges do not support a finding of adequate cause, or asserts that there was an absence of due process, the Faculty Hearing Committee will hear all available evidence and rest its recommendation upon the evidence in the record.
(ii). The Faculty Hearing Committee, in consultation with the President and the faculty member, will exercise its judgment as to whether the hearing should be public or private.
(iii). During the proceedings faculty members will be permitted to have an academic advisor and counsel of their own choice.
(iv). At the request of either party or the Faculty Hearing Committee, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer.
(v). A verbatim record of the hearing or hearings will be taken and a typewritten copy will be made available to the faculty member without cost upon request.
(vi). The burden of proof that adequate cause exists rests with the institution, and shall be satisfied only by clear and convincing evidence in the record considered as a whole.
(vii). The Faculty Hearing Committee will grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.
(viii). The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence, and the University, insofar as it is possible, will secure the cooperation of such witnesses and make available necessary documents and other evidence within its control.
(ix). The faculty member and the administration will have the right to confront and cross-examine all witnesses. Where the witness cannot or will not appear, but the Committee determines that the interest of justice requires admission of the witness' statement, the Committee will identify the witness, disclose the statement, and if possible provide for interrogatories.
(x). In the hearing of charges of incompetence, the testimony shall include that of qualified faculty members from this or other institutions of higher education.
(xi). The Faculty Hearing Committee will 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.
(xii). The findings of fact and the decision will be based solely on the hearing record. Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers will be avoided so far as possible until the proceedings have been completed, including consideration by the Board of Trustees of the University. The President and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing.
(xiii). If the Faculty Hearing Committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the President. If the report is rejected by the President, reasons for doing so will be stated, in writing, to the Hearing Committee and to the faculty member, and an opportunity for response will be provided before transmitting the case to the Board of Trustees.
(xiv). If the Faculty Hearing Committee concludes that adequate cause for a dismissal has been established, but that an academic penalty less than dismissal would be more appropriate, it will so recommend, with supporting reasons.
VI. Action by the Board of Trustees
a. If dismissal or other penalty is recommended, the President will, on request of the faculty member, transmit to the Board of Trustees the record of the case. The Board of Trustees' review will be based on the record of the Committee hearing, and it will provide opportunity for argument, oral or written or both, by the principals at the hearing or by their representatives.
b. The decision of the Hearing Committee will either be sustained or the proceeding returned to the Committee with specific objections. The Committee will then reconsider, taking into account the stated objections and receiving new evidence if necessary. The Board of Trustees will make a final decision only after study of the Committee's reconsideration. At the conclusion of the case the Faculty Hearing Committee shall report to the full faculty.
VII. Suspensions
a. Until the final decision upon termination of an appointment has been reached, the faculty member will be suspended or assigned to other duties in lieu of suspension only if immediate harm to the faculty member or others is threatened by the member's continuance. Before suspending a faculty member, pending an ultimate determination of the member's status through the University's hearing machinery, the administration will consult with the Faculty Hearing Committee.
b. Suspension is appropriate only pending a hearing; a suspension that is intended to be final is a dismissal and will be dealt with as such. Salary will continue during the period of suspension.
VIII. Terminal Salary or Notice
a. If the appointment is terminated, the faculty member will receive his/her salary or notice in accordance with the schedule of notice to which the member is entitled under Regulation B.5 or, if tenured, for at least one year. This provision for terminal notice or salary need not apply in the event that there has been a finding that the conduct which justified dismissal involved moral turpitude.
b. On the recommendation of the Faculty Hearing Committee or the President, the Board of Trustees, in determining what, if any, payments will be made beyond the effective date of dismissal, may take into account the length and quality of service of the faculty member.
Reference Documents
- University of Dayton Faculty Policy and Governance Handbook
- “1968 Statement of the American Association of University Professors,” AAUP Bulletin, Vol. 54, #4, 1968
- AAUP Policy Documents and Report, 1990
- Academic Senate document number 2002-03, Suspending the “Tenure Clock” for Tenure Track Faculty Members Eligible for Family or Medical Leave