STATEMENT ON ACADEMIC FREEDOM, RESPONSIBILITY, AND TENURE

Section I

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General Policies

APPENDICES            

1. Process for Initial Appointment of Tenure and Tenure Track-Faculty
2. Tenure Review Schedule: Professor
3. Tenure Review Schedule: Associate Professor
4. Tenure Review Schedule: Assistant Professor
5. Tenure Review Schedule: Instructor
6. Review Process for Promotion, Tenure, and New Term Contract
7. Review Process for Promotion and Tenure, and New Term Contract for Colleges with only One Academic Unit
8. Appeal Procedure

1. Henry Kendall College of Arts and Sciences
2. College of Business Administration
3. College of Engineering and Natural Sciences
4. College of Law

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I.A - PURPOSE

The purpose of this Statement on Academic Freedom, Responsibility, and Tenure, hereinafter referred to as the Statement, is to identify the documents, policies, and procedures binding at the time of employment and to indicate those policies, procedures and criteria subject to change. The application and implementation of contractual and noncontractual policies and procedures also are described. This Statement does not identify all University policies and procedures. In the event conflict exists between this Statement and provisions of other relevant documents, this Statement shall take precedence over the other relevant documents with regard to faculty matters covered in the Statement.

I.B - NONDISCRIMINATION

The University of Tulsa is an equal opportunity employer and an institution of higher education. The University endeavors to create and nurture an informed and inclusive environment in its workplace and educational programs. Affirmative action and equal employment opportunity are integral parts of The University of Tulsa, not just because they are legally mandated, but because we recognize that the present and future strength of the University is based primarily on people and their skills, experience, and potential. The University of Tulsa does not discriminate on the basis of personal status or group characteristics, including, but not limited to, the classes protected under federal and state law. The University of Tulsa seeks to recruit, select, and promote students, faculty, and all other employees on the basis of individual merit.

The University of Tulsa, an Affirmative Action/Equal Employment Opportunity institution, recognizes the need to increase representation by under-represented groups. The Affirmative Action/Equal Employment Opportunity officer at The University of Tulsa has responsibility for implementing and monitoring the Affirmative Action Plan of the University and assisting with the application and interpretation of pertinent laws.

I.C - PREAMBLE

The Faculty, the Administration, and the Board of Trustees of The University of Tulsa do hereby subscribe to and adopt the following Statement on Academic Freedom, Responsibility, and Tenure, effective June 1, 1992. The Statement enunciates the general policy and procedures concerning academic freedom, responsibility, and tenure at The University of Tulsa. It is not a comprehensive code, however. Matters, procedures, and options not specified are left to the judgment, imagination, and wisdom of the faculty and administration. Where policies and procedures do not spell out or restrict, a variety of sound practices is expected to develop.

The Statement does not nullify the rights and privileges of existing contracts except as agreed to in writing by The University of Tulsa and individual faculty members. Faculty members holding tenure under the terms of the 1969 Statement on Academic Freedom and Responsibility, Tenure and Rank or holding continuing appointment under the 1976 Statement on Academic Freedom and Responsibility, Rank and Appointment may, without penalty, elect to remain under their respective documents and have all the rights, privileges and responsibilities associated with those documents. The procedures outlined in the Statement dealing with issues of promotion, tenure, professional review, termination, and appeal shall, however, supersede the procedures set forth in earlier documents. The Statement, as adopted by the faculty and approved by the president and the Board of Trustees of The University of Tulsa, shall be the basis for establishing new appointments and contracts.

I.D - CLASSIFICATION OF FACULTY

The following terminology is used for purposes of this Statement to clarify references to the categories of faculty at The University of Tulsa. This nomenclature is consistent with the definition of General Faculty in University Bylaws adopted by the Board of Trustees. The Bylaws define faculty on the basis of rank or administrative function for the purpose of determining faculty voting rights. These category titles may be inconsistent with unique titles recorded on individual contracts. Each faculty member's classification under this nomenclature shall be clearly indicated by check-off boxes on the contract. The outline structure of these categories is shown at the end of Section I.D.

General Faculty refers to all persons who are appointed to teach or engage in scholarly activity at The University of Tulsa for pay. Faculty with unique titles must be told on the employment contract if they have voting rights equivalent to an instructor. General Faculty comprise two categories: university faculty and student faculty. The rights and responsibilities of academic freedom extend to the General Faculty.

I.D.1 - University Faculty: University faculty comprise two categories: resident faculty and nonresident faculty.

I.D.1.a - Resident Faculty: Resident faculty, also synonymously known as "regular faculty,” are long-term employees of the university who comprise two categories: resident tenure faculty, and resident contract faculty. Resident faculty at the rank of instructor or above shall have voting rights in faculty meetings, regardless of tenure or contract status, subject to the specific limitations imposed by this document on matters of promotion, tenure, or professional review, or to limitations imposed by the written college policies on contract faculty mandated by this document.

Resident tenure faculty are faculty who are tenured, or on tenure track. This category also includes faculty who are visiting faculty by virtue of visa status, but who have been hired into a tenure-track position in anticipation of becoming a permanent resident of the United States.

Resident contract faculty are on renewable contracts of one, two, three or five years with the option to renew the contract an indefinite number of times at the mutual agreement of the faculty member and the University.

I.D.1.b - Nonresident Faculty: Nonresident faculty are those who truly hold a temporary position at the University as a visiting scholar, or an adjunct faculty member regardless of rank. This category includes post-doctoral students. Nonresident faculty do not have the right to vote in faculty meetings.

I.D.2 - Student Faculty: Student faculty are teachers and scholars who are working on a postgraduate degree from the university. They may be hired under a variety of titles including teaching assistant, research assistant, or instructor.

I.E - Categories Covered by this Statement: The provisions of this document apply to the general faculty as regards academic freedom and responsibility. The review, promotion, contract renewal, grievance and appeals procedures apply to resident faculty, with distinctions between resident tenure faculty and resident contract faculty explicitly stated where applicable. Individuals hired only to teach in the division of continuing education are not included in this classification.

I.F - Protection of Faculty Members Rendering Decisions under This Statement: All members of the university who render decisions within the guidelines of this document, at the academic unit, college or university level, acting individually or as members of committees elected by those university divisions, and acting in good faith, and in compliance with all applicable nondiscrimination laws and policies, shall be indemnified and represented as provided in the Bylaws of the Board of Trustees, in any litigation arising from their deliberations.

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SECTION II - RESIDENT FACULTY APPOINTMENTS AND RANK 

II.A - Resident Faculty Contracts

All new resident faculty members shall receive a contract specifying that the appointment is with tenure, or is tenure track, or nontenure track.  An appointment letter shall accompany the contract detailing any special conditions or terms regarding the appointment.  If the appointment is tenure track, the appointment letter shall specify the maximum length of time before a tenure decision must be rendered.  The appointment letter accompanying tenured and tenure-track appointments shall identify the academic unit or units that constitute the peer group responsible for reviewing professional accomplishments.  An academic unit is the committee, faculty, department, division, college, or other unit to which the faculty member is appointed and subject to review. Section IV.C.5.

The Statement on Academic Freedom, Responsibility, and Tenure is part of the employment contract and shall accompany the contract and appointment letter.  The first contract issued by the University shall not be binding on either party until the appointee attests in writing to having received and read the Statement.  The written response of the appointee shall be part of the employment contract.  The appointee also should receive copies of the current University fringe benefit, research, personnel and other applicable policies.  These policies are not part of the employment contract and are subject to change.

Unless otherwise indicated in this Statement, or unless otherwise agreed by the University and the person involved, notice of the terms and conditions of employment for currently employed faculty members shall be given no later than April 1. 

II.B - Tenure and Tenure-Track Appointments

Tenure-track faculty hold the rank of professor, associate professor, assistant professor, or instructor.  Appointments of tenured and tenure-track faculty to existing academic units must receive an affirmative recommendation for appointment from a majority of the resident faculty of the appropriate academic unit voting by secret ballot, the dean, provost, and president prior to approval by the Board of Trustees.  Appointments with tenure also must receive an affirmative recommendation from a majority of the college promotion and tenure committee.  (Figure 1)

II.B.1 - Professors: Professors are appointed either for terms of three academic years or with tenure.  The minimum requirements for appointment to professor are: (a) an appropriate terminal degree or its equivalent from an accredited college or university or distinguished credentials as evidenced by specialized study, certification, or experience; (b) an established reputation as an effective teacher; (c) a distinguished reputation for scholarship or creative achievement; and (d) a record of institutional, professional, and community service beyond teaching and research. 

II.B.2 - Associate Professors: Associate professors are appointed either for terms of three academic years or with tenure.  The minimum requirements for appointment to associate professor are: (a) an appropriate terminal degree or its equivalent from an accredited college or university or distinguished credentials as evidenced by specialized study, certification, or experience; (b) an established reputation as an effective teacher; (c) a growing reputation for scholarly or creative achievement; and (d) a record of institutional, professional, and community service beyond teaching and research.

II.B.3 - Assistant Professors: Assistant professors are appointed for terms of three academic years.  The minimum requirements for appointment to assistant professor are: (a) an appropriate terminal degree or its equivalent from an accredited college or university, or other appropriate credentials as evidenced by specialized study, certification, or experience; (b) evidence of teaching effectiveness; (c) a demonstrated ability to do scholarly or creative work; and (d) promise of institutional, professional, and community service beyond teaching and research.

II.B.4 - Instructors: Instructors are appointed for terms of two academic years. The minimum requirements for appointment to instructor are:  (a) a nonterminal master's degree from an accredited college or university, or equivalent credentials and evidence of progress toward a terminal degree; (b) evidence of promise as a teacher; and (c) evidence of promise as a scholar.

II.C - Resident Contract Appointments

Resident contract faculty hold full-time or part-time term appointments of one, two, three or five years at the rank and title recommended by the appropriate academic unit, administrative head, dean, provost and president and approved by the Board of Trustees.  Although not eligible for tenure while under such a contract, these faculty members may be appointed to an unlimited number of term contracts.  Each college, in consultation with the appropriate academic unit, shall submit to the provost for approval guidelines defining the duties, privileges, responsibilities, and review procedures governing resident contract faculty.

The University of Tulsa does not restrict the employment of relatives as faculty members.  Married couples and other close family members may be hired as full-time or part-time faculty members in the same or different academic units.  They will be appointed, reviewed, promoted, and granted tenure without regard to their marital or familial relationships.  A faculty member, however, shall not initiate or participate in the professional review or in decisions such as the hiring, promotion, tenure, and contractual arrangements affecting close family members.  Faculty members with administrative responsibilities will forward to their supervisors for action and without recommendation any decisions affecting their close family members. 

II.E - Election of Emeritus/Emerita Faculty

All tenured faculty members at The University of Tulsa with at least five years service at the time of retirement shall be eligible for election to the title of emeritus/emerita.  Election to the title emeritus/emerita requires the recommendation of the faculty of the academic unit by majority vote, the administrative head, the dean, provost, and president.

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SECTION III - ACADEMIC FREEDOM, RESPONSIBILITY, AND TENURE

The University of Tulsa is a community devoted to the dissemination of knowledge, the pursuit of truth, and the nurturing of a spirit of inquiry. As a self-governing institution, it professes freedom from both internal and external interference that would hinder the accomplishment of these purposes; transcends, as often as it challenges and accepts, the customs and values of society; and maintains standards of excellence and responsibility that do not always conform to those of the persons and groups who support it.

III.A - Academic Freedom and Responsibility

The University of Tulsa recognizes that the dissemination of knowledge, the pursuit of truth, and the nurturing of a spirit of inquiry depend on a commitment to academic freedom. Academic freedom can exist only under conditions conducive to free inquiry, thought, and discussion. These conditions are regarded as necessary rights accruing to faculty status. The freedom to investigate, speak, write, and otherwise express one's views is linked to the equally demanding concept of academic responsibility. Faculty members have the responsibility to teach, speak, and write with accuracy and to respect the right of others to voice opposing views. As members of a profession that depends upon freedom for its health and integrity, they have a particular obligation to promote conditions of free inquiry. Tulsa faculty also are members of the civic community and are entitled to exercise the rights and responsibilities inherent to that membership.

The exercise of academic freedom and responsibility by faculty members extends beyond individual rights and duties to participation in the determination of University policy. Moreover, the faculties of the academic units and colleges are free at any time to debate and make recommendations concerning any policy, program, or practice of the University.

III.B - Tenure

The concept of academic tenure, essential to maintaining an environment committed to academic freedom and responsibility, refers to the contractual commitment by The University of Tulsa to continue the employment of any member of the faculty granted tenure in an academic position. Tenure once granted is irrevocable and shall be recognized as a legal obligation until such time as a faculty member retires, resigns, or is dismissed by The University of Tulsa for cause, financial exigency, educational considerations, or legally permissible medical reasons as these causes are defined and explained in Section VII of this Statement.

A faculty member holding an administrative appointment may have tenure as a faculty member but not as an administrator.

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SECTION IV - CONTRACT RENEWAL, PROMOTION AND TENURE REVIEW

Review criteria, schedules, and procedures described in this section apply to all faculty members being considered for the renewal of a tenure-track term appointment, promotion, or tenure. A decision to renew a term appointment or award tenure shall be based on the criteria outlined below and the institutional needs of the University.

IV.A - Criteria

Faculty shall be evaluated in the areas of teaching, scholarship or creative achievement, and service. Although some quantitative measures of evaluation may be employed, excellence in performance is of primary importance; that is, the quality, significance, and impact of accomplishments are of greater importance than their number. In addition to meritorious accomplishments, a high potential for continued excellence is required for promotion and tenure.

The faculty of each college and their constituent academic units shall establish by majority vote specific criteria statements for promotion and tenure compatible with the requirements outlined herein and in Section II.B, provided that the criteria for promotion or tenure decisions adopted by a college shall reflect the fact that promotion and tenure decisions are based solely upon standards reflective of individual achievements and merit.

Criteria statements shall be reviewed periodically and approved by the dean of the college and the provost. Teaching accomplishment shall be based on faculty assessment and student evaluations. The assessment of scholarship or creative achievement shall be based on the individual's level of accomplishment relative to disciplinary norms and standards. For promotion and tenure decisions, these shall be supplemented by external and internal peer evaluations.

Criteria statements of the academic unit and the college shall be provided by the dean of the college at the offer of a contract for faculty employment. When changes in the criteria occur, it is the dean's responsibility to inform every faculty member affected.

IV.B - Review Schedule for Tenure-Track Faculty

Reviews are scheduled as follows. Nontenured faculty members named to college or university administrative positions that prevent them from regularly teaching and conducting research may request that a tenure decision be stayed during the period of their administrative appointment. The academic unit of the faculty member shall by majority vote approve or disapprove such a request and report its decision to the appropriate administrative officials, including the dean of the college and provost.

Resident tenure faculty first appointed in the spring semester are reviewed at the same time as those appointed the preceding fall semester, unless otherwise specified in the offer letter.

IV.B.1 - Professors: Professors (Figure 2) are reviewed during the fall semester of the second year of a term appointment. They shall be notified in writing by April 1 following their reviews that a new term appointment or tenure will be granted effective the next academic year or that the current term appointment will be allowed to expire. A decision for or against tenure shall be rendered prior to the end of the faculty member's fourth year at The University of Tulsa.

IV.B.2 - Associate Professors: Associate professors (Figure 3) are reviewed during the fall semester of the second year of a term appointment. They shall be notified in writing by April 1 following their reviews that a new term appointment or tenure shall be granted effective the next academic year or that the current term appointment shall be allowed to expire. If the original appointment was at the rank of associate professor, a decision for or against tenure shall be rendered prior to the end of an associate professor's fourth year at The University of Tulsa. If the original appointment was at the rank of assistant professor, the decision for or against tenure shall be rendered prior to the end of the faculty member's sixth year at The University of Tulsa.

In unusual circumstances, associate professors lacking the qualifications for tenure but judged to have exceptional promise may, upon the recommendation of the majority of the faculty of the academic unit, the administrative head, college tenure and promotion committee, dean, and provost, be granted a final term appointment, which would be the third term appointment if the original appointment was at the rank of associate professor and fourth if the original appointment was at the rank of assistant professor. In these cases, a decision for or against tenure shall be rendered prior to the end of the faculty member's sixth year at The University of Tulsa if the original appointment was at the rank of associate professor and prior to the end of the faculty member's eighth year at The University of Tulsa if the original appointment was at the rank of assistant Professor. The recommendation shall be made only when the circumstances are extraordinary and the rationale is compelling. The recommendation shall originate at the level of the academic unit or the college review committee, and shall be made by the college committee only when the recommendation made at the academic unit was positive. Should a recommendation to extend the contract originate with the academic unit chair and be approved by the college committee, or originate at the level of the college committee, the case will be returned to the academic unit with the annotation that the college committee has decided not to recommend tenure, but would accept a recommendation to extend the probationary period. The academic unit and chair must agree to the recommendation of extension or the decision of the college committee to deny tenure shall stand.

IV.B.3 - Assistant Professors: Assistant professors (Figure 4) are reviewed during the fall semester of the second year of a term appointment. They shall be notified in writing by April 1 following their reviews that a new term appointment as an assistant or associate professor without tenure or an appointment as an associate professor with tenure will be granted effective the next academic year or that the current term appointment will be allowed to expire.

Normally the promotion and tenure decisions for assistant professors are rendered at the scheduled review during the professor's sixth year at The University of Tulsa. In unusual circumstances, assistant professors lacking the qualifications for promotion and tenure but judged to have exceptional promise may upon the recommendation of a majority of the faculty of the academic unit, the administrative head, college tenure and promotion committee, dean, and provost, be granted a fourth and final term appointment. In these cases, a decision for or against tenure shall be rendered prior to the end of the faculty member's eighth year at The University of Tulsa. The procedures for recommending this extraordinary extension shall be the same as those in IV.B.2.

Assistant professors originally appointed to the rank of instructor must be considered for promotion to associate professor and tenure prior to the end of a faculty member's eighth year at The University of Tulsa.

IV.B.4 - Instructors: Instructors (Figure 5) are reviewed annually during the fall semester beginning after their first year of service. They shall be notified in writing by April 1 following their reviews that their appointment will be renewed or allowed to expire. Instructors must qualify for appointment as an assistant professor before the end of their second term appointment.

IV.C - Procedures (Figure 6)

Reviews shall follow these procedures together with any other procedures adopted by the applicable academic unit.

IV.C.1 - The Faculty Member: The faculty member shall present documentation addressing the criteria established by the academic unit charged with the review. Faculty members under review may appear before any committee evaluating their accomplishments; they also may designate a University faculty member, who is not a member of the review committee, to appear as an advocate. The administrative head of the academic unit may attend such meetings during the appearance of the faculty member or the advocate.

IV.C.2 - The Academic Unit: The academic unit review process begins with the election of a review committee and its chair by the faculty of the academic unit. The review committee may include faculty members from outside the academic unit. Tenured and tenure-track faculty members may serve on review committees, but faculty members may not serve on committees considering their own status. An academic unit may vote to create a committee of the whole.

The administrative head of the academic unit shall neither be a member of the review committee nor participate in its deliberations. Further, neither the faculty members under review nor their advocates may be present during deliberations or when votes are cast. The head of the academic unit may respond to questions of fact raised by the committee concerning the case, including questions on procedures employed to seek material submitted in the documentation from students, alumni, or outside scholars.

The review committee shall send its written report, including the vote of the committee, to the head of the academic unit who shall distribute the report to the faculty of the academic unit, including the faculty member under review, before convening the academic unit. The opportunity to respond to the committee report shall be provided to the faculty member under review and that response shall become a part of the review file. The administrative head of the unit shall preside at the meeting of the faculty of the academic unit but may not vote. At that meeting, the faculty of the academic unit shall examine the information upon which the review committee has based its deliberations, discuss the written report of the review committee, and any response submitted by the faculty member under review. The faculty of the academic unit shall cast a secret ballot accepting by majority vote or rejecting the report of the review committee. For the purposes of determining what constitutes a majority vote, each college shall have discretion to determine the number of resident faculty of an academic unit eligible to cast a vote, and each college shall have discretion to determine the status of those faculty absent because of sabbatical, leave of absence, visiting away, emeritus no longer teaching a full load, hospitalized or ill, or absent due to extraordinary circumstances. If the faculty of the academic unit votes to reject the report of the review committee, the academic unit, acting as a committee of the whole, shall write a separate report and rationale. After a report has been accepted by a majority vote of the faculty, a separate vote shall be taken by secret ballot on the recommendation that is to be sent to the College Committee on Tenure and Promotion. If the academic unit fails to recommend reappointment by majority vote, the review shall end with the dean notifying in writing the faculty member and the provost of the action of the academic unit. The result of the vote of the academic unit and any written recommendation and rationale shall become part of the review file.

The administrative head shall write a recommendation after the meeting of the academic unit. The administrative head shall meet with the faculty member under review to discuss the report of the review committee and the vote and recommendation of the academic unit. At that meeting, the faculty member shall receive a copy of the report of the review committee, the results of the vote on that report by the academic unit along with any recommendation and rationale, and a copy of the recommendation of the head of the academic unit. The head of the administrative unit shall forward all material concerning the review of the faculty member to the dean of the college.

When the administrative head is under review, the dean of the college shall carry out the responsibilities normally assigned the administrative head, including the chairing of the meeting of the academic unit. When the administrative head is the dean, the provost shall carry out those responsibilities.

IV.C.3 - The Dean: Whenever the review concerns the renewal of a term appointment, the dean shall consider the report of the academic unit review committee, any response submitted by the faculty member under review, the recommendations of the academic unit, and the head of the academic unit. If the recommendations are favorable, the dean shall forward them along with the recommendation of the dean to the provost for review and recommendation to the president. At that time, the faculty member involved shall be advised in writing by the dean of the nature of the recommendation being forwarded. If an academic unit fails to recommend reappointment, the review shall end with the dean notifying in writing the faculty member and the provost of the action of the academic unit.

If a review concerns promotion or tenure, the dean shall forward all material related to the review to the Committee on Promotion and Tenure in the college. If the decision of the academic unit committee was to deny promotion or to deny tenure, the college Committee on Promotion and Tenure will receive and review the material only for the purpose of certifying to the dean by letter that the Committee finds that due process was either carried out, or to recommend to the dean that the case should be sent back to the academic unit to rectify errors or omissions in due process.

IV.C.4 - Committee on Promotion and Tenure.

IV.C.4.a - Selection of the Committee and Participation in Deliberations: The Committee on Promotion and Tenure shall be a standing committee of each college consisting of five faculty members elected by the college faculty, each to serve two-year terms. Elections to the Committee on Promotion and Tenure in each college shall be open to all resident tenured faculty who have served on the faculty at least one academic year. All faculty qualified to serve who are nominated by faculty qualified to vote shall appear on the ballot. Each college shall determine by written policy whether resident contract faculty are allowed to vote. Voting shall be by secret ballot. When the initial committee is established, two faculty members shall be elected for one year only, and thereafter terms shall be staggered. An alternate faculty member shall also be elected annually to serve on the Committee in place of a regularly elected member when matters relative to promotion or tenure of a regularly elected member are under discussion, or when the regularly elected member is unable to serve. The alternate faculty member shall attend, deliberate, and have voice and vote only in the specific cases requiring the alternate's participation.

If none of the Committee is from the same academic unit as that of a candidate being considered for promotion or tenure, the candidate's academic unit shall elect a member to augment the Committee for the consideration of that candidate. That member shall have voice and vote for that case only.

If the candidate for promotion or tenure believes that any member of the Committee on Promotion and Tenure cannot, because of personal, financial, or professional reasons, render a judgment in the candidate's case that is based only on the facts of the case, the candidate may request that an alternate serve. This request shall be submitted to the dean with the reason for suspecting bias. The decision regarding whether the alternate shall be asked to serve will then rest with the dean. Similarly, any member of the committee who feels that a conflict of interest exists in the member's judgment of a particular case may submit to the dean an explanation of the conflict and a request that the member be excused from hearing that case or participating in the decision.

IV.C.4.b - Procedures of the Committee on Promotion and Tenure: The Committee on Promotion and Tenure will have access to the materials submitted by the candidate and the academic unit to the dean for the members to review prior to the Committee meeting. The chair of the Committee shall determine from the candidate and the academic unit head if any material changes have occurred since the academic unit review, and shall seek clarification of any questions raised by members of the Committee.

The Committee on Promotion and Tenure, except as provided below, shall meet to review the material forwarded by the head of the academic unit to the dean of the college. Five voting members must be present to provide a quorum. The dean may personally attend Committee meetings, but shall not vote or otherwise contribute to the decision-making process of the committee. The dean may respond to questions of fact from the committee concerning the case. If the candidate requests an opportunity to appear before the committee, he or she may do so. The committee may also invite the candidate to appear. The Committee shall recommend with at least three votes that the faculty member be promoted, granted tenure, or both. The Committee shall prepare a written recommendation and present it to the dean of the college. The Committee shall discuss its recommendation with the dean if the dean has not been present during its deliberations.

If the Committee on Promotion and Tenure fails to recommend promotion or tenure, the Committee shall forward its decision, with rationale, along with the recommendations of the academic unit review committee, the academic unit, and the head of the administrative unit to the dean and the review shall end. The rationale shall include the vote of the Committee and explicitly address the relationship between the evidence submitted to the Committee by the candidate and the academic unit and the written criteria applicable to that unit. The dean shall provide the faculty member with a copy of the decision, with accompanying rationale of the Committee.

If the Committee recommends promotion, tenure, or both, the Committee shall forward its recommendations along with the report of the academic unit review committee, any response of the faculty member under review, and the recommendations of the academic unit and the head of the academic unit to the dean for review and recommendation. The dean shall then forward the material submitted by the college committee and the dean's own recommendation to the provost for review and recommendation. At the same time, the faculty member involved shall receive a copy of the recommendations of the college committee and the dean.

IV.C.5 -Special Academic Units: If an academic unit constitutes a college, the college may elect by majority vote not to create a Committee on Promotion and Tenure. The academic unit, with the dean as administrative head, shall follow the procedures outlined in Section IV.C.2 for report by review committee and vote by academic unit (Figure 7). If the assembled faculty of the administrative unit decide by majority of those present and voting not to promote or grant tenure the review will end. The dean shall then meet with the faculty member under review and deliver a copy of the report of the review committee and the result of the vote of the academic unit. If the assembled faculty vote to promote or grant tenure, the dean shall proceed as if having received a positive recommendation from the Committee on Promotion and Tenure.

If the academic disciplines are organized such that there is a clustering of disciplines into larger administrative units that are still subdivisions of the college, the term "academic unit" means the discipline rather than the cluster. The principle is that the first level of peer review should be by faculty trained in the same discipline. The term discipline reflects traditional usage in American academic institutions, and should not be construed so narrowly as to exclude faculty from the decision process whose subdiscipline differs from the candidate. Scholars working in interdisciplinary fields are still to be judged by their home academic unit, although it is legitimate for the candidate to request the solicitation of evaluations from scholars in other disciplines for the academic unit to consider. It is immaterial whether the academic unit is called a department, a faculty, a school, or a college.

IV.C.6 - The President: The president, after reviewing the materials submitted to the provost and the recommendation of the provost, and if the president's recommendation is positive, shall forward by February 1 a recommendation for the term appointment, promotion and tenure of faculty members to the Board of Trustees for action. The Board of Trustees of The University of Tulsa renders final decisions on recommendations concerning term appointments, promotions, and tenure.

IV.D - Appeals (Figure 8)

Faculty members may appeal the nonrenewal of term appointments and the denial of promotion or tenure only on grounds alleging: (1) the violation of academic freedom; (2) failure to follow stated procedures or apply stated criteria; or (3) impermissible discrimination as defined in this document or that is otherwise unlawful. The burden of proof is clear and convincing evidence and rests with the faculty member. The University Faculty Appeals Board shall consider appeals of faculty members following the procedures outlined in Section VI.

If the Appeals Board decides there has been a violation of rights or procedure, it shall indicate the point where the infringement occurred. The panel shall then outline a special process of professional review that allows the case to be reevaluated in a manner that eliminates any violation of rights or procedure.

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SECTION V - PROFESSIONAL REVIEW OF TENURED FACULTY

Tenured faculty members shall be reviewed as follows.

V.A Criteria

The faculty of the colleges and their constituent academic units shall by majority vote establish criteria statements for the evaluation of continuing professional accomplishment of tenured faculty members. Professional review criteria statements shall address accomplishments in teaching, scholarship or creative achievement, and service. Teaching accomplishment shall be based on faculty assessment and student evaluations. Professional review criteria statements shall be reviewed periodically and approved by the dean of the college and the provost and be made available to every faculty member at the time of employment and upon any change in the criteria statements.

V.B Review Schedule

Tenured professors are reviewed every fifth year; tenured associate professors are reviewed every fourth year. Either the faculty member being reviewed or the head of the academic unit, with concurrence of the faculty member, may request that a review include consideration for promotion. In such a case, faculty review may be requested in advance of the time at which it would be done in the usual review cycle. If promotion is to be considered, the review process shall be the same as that used when a nontenured faculty member is reviewed for promotion (see Section IV.C). If a review for promotion is undertaken in a year other than the year of the scheduled post-tenure professional review, and if the process goes as far as a recommendation by the collegiate committee, then the clock is reset, so that the next scheduled professional review occurs after the normal interval for the rank of the faculty member.

Tenured faculty members named to college or university administrative positions that prevent them from regularly teaching and conducting research may request that professional reviews be stayed during the period of their administrative appointment. The faculty member's academic unit shall by majority vote approve or disapprove such a request and report its decision to the appropriate administrative officials, including the dean of the college and provost. If a professional review is conducted, it should take cognizance of the administrative responsibilities of the faculty member.

V.C - Procedures (Figure 8)

The review process begins with the presentation of documentation and the election of a review committee as outlined in IV.C.1 and IV.C.2. Using the criteria established by the academic unit, the review committee shall prepare a written report and forward it to the administrative head. The administrative head may endorse the report or write a separate report. The administrative head shall then meet with the faculty member under review. At that meeting, the faculty member shall receive a copy of the reports of the review committee and administrative head, if any. After the meeting, the head of the administrative unit shall forward copies of the reports given to the faculty member to the dean of the college.

The dean shall acknowledge the professional review of tenured faculty members by an academic unit with a letter to the faculty member involved and forward a copy of that letter and copies of the reports from the academic unit to the provost for filing.

When the administrative head is under review, the dean of the college shall carry out the responsibilities normally assigned the administrative head. When the administrative head is the dean, the provost shall carry out those responsibilities.

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SECTION VI - POLICIES AND PROCEDURES FOR APPEALS

The nature of a decision being appealed determines which body hears the appeal. Three categories of appeal exist:

1. appeals arising from the promotion and tenure process,

2. appeals of decisions based on accusations of personal, professional, or administrative misconduct, and

3. appeals of decisions to terminate a faculty member's service based on institutional financial exigency or educational considerations, or the faculty member's inability to perform the duties of the position because of certain medical conditions.

To hear these appeals, a system of regularly elected committees exists. Each college elects a Committee on Faculty Rights and Responsibilities. Two bodies are elected at the university level: the University Faculty Appeals Board and the University Faculty Grievance Committee (which is not the same as the University Grievance Committee).

1. Appeals arising from decisions in tenure or promotion cases at the collegiate level or above go directly to the University Faculty Appeals Board.

2. Cases of dismissal for cause because of personal, professional or administrative misconduct go first to the Committee on Faculty Rights and Responsibilities of the college, and the decisions of those committees can be appealed to the University Faculty Appeals Board.

3. Appeals arising from the university taking action to terminate a faculty member on the basis of financial exigency, educational considerations or permissible medical condition also go to the University Faculty Appeals Board.

4. Grievances arising from any other matter and involving charges brought by one faculty member against another are heard by the University Faculty Grievance Committee. (Grievances involving a faculty member with students, staff, or nonacademic administrators are heard by the University Grievance Committee.)

VI.A - Committee Structure and Function

The University community is strengthened by procedures that address the apparent violation of commonly held standards of professional, personal or administrative conduct. To that end, the Committee on Rights and Responsibilities in each college, the University Faculty Appeals Board, and the Committee on Faculty Grievances are established. Elections to these committees shall be held in April of each year. Terms of office shall begin on September 1 of the year in which the election occurs and end on August 31 of the year in which the term expires, with the exception that once any panel begins to hear a case, each member of that panel will continue to serve until that case is completed even if that member’s term has expired. Newly elected members will not join a panel that has already begun reviewing a case.

VI.A.1 - The Collegiate Committees on Faculty Rights and Responsibilities

VI.A.1.a - Selection of Members: Each college shall have a Committee on Rights and Responsibilities that shall consist of five members and two alternates elected at large from the college. Elections in each college shall be open to all resident faculty who have served on the faculty at least one academic year. All qualified faculty who are nominated shall appear on the ballot. Voting shall be by secret ballot. Committee members shall serve three-year terms. After the initial election, lots shall be drawn to establish a rotation so no more than two terms expire in any single year. The Committee shall elect its own chair. Alternates shall be elected annually.

VI.A.1.b - Impartiality of Members: Members of the Committee on Rights and Responsibilities who are unable to impartially consider the charges against a faculty member should recuse themselves from the hearing. If the faculty member bringing the charge or against whom the charge is brought or the dean is of the opinion that a member of the Committee will not view the charges with impartiality, the faculty member or the dean may in writing request the recusal of that member from the hearing. A majority of the remaining members of the Committee must support this request of the faculty member or dean, and the Committee remaining, if there is a quorum, shall select another impartial person from among the alternates to serve on the Committee for the purpose of the hearing. If the majority of the committee members are disqualified, the faculty of the college involved shall convene to elect ad hoc members to serve during the hearing.

VI.A.1.c - Cases Heard by the Committees: The College Committee on Rights and Responsibilities shall hear cases involving dismissal for cause of faculty members resident in that college (see Section VII.A and Figure 8).

VI.A.2 - The University Faculty Appeals Board

VI.A.2.a - Selection of Members: The University Faculty Appeals Board shall consist of two faculty members elected by and from each college for three-year terms under procedures established by the Faculty Senate or its successor. After the initial election, lots will be drawn to establish a rotation so no more than four terms expire in any single year. Each college shall annually elect two alternate members to a one-year term. The Committee chair shall be appointed from the faculty at large by the Faculty Senate Steering Committee or its successor. The faculty member selected to serve as chair must be familiar with the legal and procedural responsibilities of the Committee. The chair shall be nonvoting except in cases of ties and serve a term of five years.

VI.A.2.b - Impartiality of Members: If the faculty member whose appeal is to be heard by the Board or the administrative officer whose decision is under appeal is of the opinion that a member of the University Faculty Appeals Board will not view the charges with impartiality, the faculty member or the administrative officer may file with the University Faculty Appeals Board a written request to recuse that member from the hearing. A majority of the remaining members of the University Faculty Appeals Board must support the request of the faculty member or administrative officer to remove a member for cause. Members of the University Faculty Appeals Board who feel that their objectivity and impartiality is subject to question may recuse themselves from the hearing. If the majority of the Committee members are excused, the Faculty Senate Steering Committee or its successor shall appoint ad hoc members to serve during the hearing.

VI.A.2.c - Cases Heard by the Board: The University Faculty Appeals Board shall hear: (1) cases involving nonrenewal of term contracts and denial of promotion and tenure (see Section IV.D and XI.F and Figure 8); (2) cases involving dismissal due to financial exigency (see Section VII.B and Figure 8); (3) cases involving dismissal because of educational considerations (see Section VII.C and Figure 8); and (4) cases involving dismissal due to legally permissible medical reasons (see Section VII.D and Figure 8). In addition, the University Faculty Appeals Board may hear appeals of decisions involving dismissal for cause after those cases have been heard by the Committee on Faculty Rights and Responsibilities of the faculty member's college (see Section VII.A.2 and Figure 8).

VI.A.3 - The University Committee on Faculty Grievances

VI.A.3.a - Selection of Members: The Committee on Faculty Grievances shall be constituted and chaired in the same manner as the University Faculty Appeals Board (see Section VI.A.2.a).

VI.A.3.b. - Impartiality of Members: Impartiality of the members of the Board shall be assured by the same procedures that apply to the University Faculty Appeals Board (see Section VI.A.2.b).

VI.A.3.c - Cases Heard by the Committee: The University Committee on Faculty Grievances shall hear cases brought by the faculty alleging professional, personal, or administrative misconduct by members of the faculty or academic administration (see Section IX and Figure 8).

VI.B - Confidentiality, Discovery Powers, Legal Counsel, and Other Matters

The following provisions shall apply to the proceedings of the Committee on Rights and Responsibilities in the colleges, the University Faculty Appeals Board, and the Committee on Faculty Grievances. Each body shall have detailed, written procedures consistent with the requirements of this document. These requirements will be reviewed annually during the organizational meeting of the body at the beginning of the academic year, or at a time specified by the Faculty Senate.

VI.B.1 - Confidentiality: The individuals involved in the proceedings of these panels shall preserve the confidentiality of any charges, deliberations, findings, or recommendations, except such disclosures as are reasonably necessary in the investigation, hearing, and final disposition of a case and as required by law.

VI.B.2.a - Powers of Discovery: These panels shall have powers of discovery; they shall have access to all documents and information that could aid their decision-making process whether or not the documents and information were available in the decision-making process at a lower level. It is the goal of the University's internal procedures to resolve issues without recourse to litigation. Thus, the guiding principle for determining whether evidence is available to the Committee or Board is whether such evidence would be available to the courts in the event that the internal procedures are exhausted and the issue is brought to the judicial system.

VI.B.2.b - Scope of Review: The tenure review process is a dynamic rather than a static one. Each level of review has the right to consider new information, whether positive or negative, available at the time of the review. At each level of review or appeal, the body considering the evidence shall base its decisions on the cumulative evidence available to it.

VI.B.3-Legal Counsel: Legal counsel may be present to advise the individuals involved and the Committees on Faculty Rights and Responsibilities of the several colleges, the University Faculty Appeals Board, or the University Committee on Faculty Grievances. Both the University and individuals involved in the proceeding may elect to be represented by legal counsel of their own choosing; and each shall be responsible for compensation of their own counsel so selected.

VI.B.4 - Delay of Reviews: Appointment renewal or tenure reviews required by this document may not be delayed because a charge is pending before any of these panels.

VI.B.5 - Withdrawal of the Appeal: A faculty member seeking redress through these panels may withdraw the matter presented for a hearing at any time prior to a decision by the University Faculty Appeals Board or the Committee on Faculty Grievances.

VI.B.6 - Grade Appeals: Grade appeals do not fall within the jurisdiction of these panels and should be considered by academic unit or college committees established for that purpose.

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SECTION VII - TERMINATION OF APPOINTMENTS BY THE UNIVERSITY

The dismissal of a tenured faculty member or nontenured resident faculty member whose term appointment has not expired shall be limited to dismissal for cause, financial exigency, educational considerations, or permissible medical reasons.

VII.A - Dismissal for Cause

The University of Tulsa community encourages personal interaction and mutual trust. Standards for conduct are derived from tradition and evolve with contemporary practice. The circumstances constituting professional, personal, or administrative misconduct are therefore usually stated only in general terms. Accordingly, the grounds for professional and personal misconduct include: (1) professional incompetence; (2) willful neglect of duty; (3) gross professional misconduct; and (4) gross personal misconduct. The grounds for administrative misconduct include the failure to adhere to: (1) appointment and tenure regulations and procedures; (2) the commitment to academic freedom; (3) the expressed and implied terms of the faculty member's contract, including the published policies of the University approved by appropriate faculty governing bodies; and (4) legal guarantees concerning impermissible discrimination as defined in this document or that is otherwise unlawful. Grounds for cause must be related directly and substantially to professional, personal, or administrative misconduct as outlined here. Dismissal for cause shall not be used to restrain faculty members in their exercise of academic freedom or other rights of citizens and residents of the United States.

VII.A.1 - Appeals Procedure

Except in circumstances justifying immediate suspension (see VII.A.1.f), faculty members shall be dismissed for cause using the following procedure.

VII.A.1.a - Pre-Hearing Procedures

When circumstances arise that may justify the dismissal of a faculty member for cause, discussions shall take place between the faculty member involved and the administrative unit head and dean with supervisory responsibility for the faculty member. The matter may be resolved by mutual consent at that point. If a settlement cannot be reached, the dean may petition in writing the Committee on Faculty Rights and Responsibilities in the college of the faculty member requesting an informal inquiry into whether cause for dismissal exists.

VII.A.1.b - Role of the Committee on Rights and Responsibilities

Informal Settlement: The Committee on Rights and Responsibilities shall operate in an informal and flexible manner. It shall make such inquiry as it deems necessary, offer confidential advice to the faculty member and the administration, and attempt to effect a mutually satisfactory settlement. If a settlement is effected, no further action shall be taken. Otherwise, the college dean or the department chair with the approval of the dean may present a detailed statement of charges constituting cause for dismissal to the Committee on Rights and Responsibilities with a copy to the faculty member.

Formal Charges: The Committee on Rights and Responsibilities, upon receipt of the detailed statement of charges, shall notify the faculty member and the dean within five days of the time and place for a hearing on the charges, provided that the faculty member is given a reasonable period (not more than thirty days) to prepare a defense to the charges.

VII.A.1.c-Burden of Proof and Procedure: The burden is on the administration to show clear and convincing evidence warranting dismissal.

Any proceedings by the Committee on Rights and Responsibilities shall be conducted to ensure the faculty member's right to due process. The Committee shall consider only reliable probative evidence and shall not consider any evidence acquired under the assurance of confidentiality, nor any evidence received through ex parte communications.

The faculty member has a right to present a defense against the specified causes for his termination by oral or documentary evidence, to call witnesses, to submit rebuttal evidence, to conduct such cross-examination as may be required for a full and true disclosure of the facts, and to legal counsel at his or her own expense. The University shall use its best efforts to obtain the presence of any witness, who is an employee or officer of the University, called by the faculty member. An audio record of the proceedings shall be taken and made available to the faculty member without cost, if the faculty member requests, or the faculty member may, at his or her cost, arrange for a court reporter to transcribe the proceedings.

VII.A.1.d - Committee Decision: If upon clear and convincing evidence received, the Committee shall be of the opinion that there is cause for dismissal of a faculty member, the Committee shall state specific findings of fact and conclusions in a written order which shall be based solely upon the record of evidence received during the hearing. No sanction may be imposed on the faculty member except on consideration of the whole record and as supported by and in accordance with the reliable, probative, and substantial evidence.

VII.A.1.e- Administrative Decision: If the Committee determines that there is cause for dismissal, the college dean or department chair, acting through the dean, shall decide the effective date of termination. In cases of professional incompetence or willful neglect of duty, the effective date of termination shall not be less than one year from the date of notification. In cases of gross personal or professional misconduct, the effective date of termination may coincide with the final decision of the Committee of Rights and Responsibilities.

VII.A.1.f - Immediate Suspension: In cases where in the judgment of the college dean immediate suspension is necessary for reasons of gross personal misconduct, a faculty member may be suspended with pay pending a hearing before the Committee on Rights and Responsibilities.

VII.A.2 - Appeals Process and Final Decision

VII.A.2.a-Role of the University Faculty Appeals Board: Any party to the proceedings aggrieved by a final order of the Committee on Rights and Responsibilities in proceedings to determine cause for termination, and the faculty member aggrieved by the administrative decision of dismissal may file an appeal in writing to the University Faculty Appeals Board within twenty days of the Committee decision or the administrative decision of dismissal. If an appeal is taken by the faculty member on the administrative decision, such appeal shall automatically include the proceedings and decision of the Committee on Rights and Responsibilities.

If an appeal is taken from the decision of the Committee on Rights and Responsibilities, the full record of the Committee proceedings, including the audio recording of the proceedings, exhibits introduced, written or any other documents or objects considered, and the written statement of findings of fact and conclusions shall be sent to the University Faculty Appeals Board within ten days of the filing of the request for appeal. These records and all other information germane to the case shall be evaluated by the University Faculty Appeals Board and provide the basis for its decision.

VII.A.2.b - University Faculty Appeals Board Decision: The University Faculty Appeals Board shall make findings of fact and shall recommend for or against dismissal or such lesser action as it deems appropriate under the circumstances which shall be conveyed in writing to the president, faculty member, and administrative officer involved. If the president is the administrative officer whose decision is under appeal, the findings of the Appeals Board shall be conveyed to the faculty member, to the President, and to the Board of Trustees.

VII.A.2.c - Implementation of the Decision: If the University Faculty Appeals Board recommends against dismissal and the president concurs, the appointment of the faculty member shall continue and no further action shall be taken. If the University Faculty Appeals Board recommends dismissal or other lesser action and the president concurs, the president shall forward the recommendations to the Board of Trustees. In either case, the president shall notify in writing the faculty member and administrative officer involved of the action being taken.

VII.A.2.d - The Role of the President: If the president does not concur with the recommendation of the University Faculty Appeals Board, the president and the University Faculty Appeals Board shall meet in an effort to reach agreement. If a common recommendation is not agreed to, the recommendation of the president and, at the request of the faculty member, the recommendation of the University Faculty Appeals Board shall be submitted to the Board of Trustees for final decision.

VII.A.2.e - The Role of the Board of Trustees: The Board of Trustees shall review the recommendations of the University Faculty Appeals Board and the president and either affirm, reverse or modify the recommendations of the University Faculty Appeals Board and the president.

VII.A.3-Conditions of Termination

VII.A.3.a - Date of Implementation: In cases of professional incompetence or willful neglect of duty, the effective date of termination shall not be less than one year from the date of notification. In cases of gross personal or professional misconduct, the effective date of termination may coincide with the final decision of the Board of Trustees. At the discretion of the president, the faculty member may be relieved of all duties pending the effective date of termination.

VII.A.3.b - Immediate Suspension: In cases where in the judgment of the president immediate suspension is necessary for reasons of gross personal misconduct, a faculty member may be suspended with pay pending a hearing.

VII.B - Dismissal Due to Financial Exigency (Figure 8)

A bona fide financial exigency exists when the president and Board of Trustees, in consultation with an appropriate standing committee of the University Senate or its successor, concludes that circumstances present a pressing need to reorder the nature and magnitude of financial obligations at The University of Tulsa in order to restore or preserve financial stability.

When faculty dismissals are contemplated on grounds of financial exigency, an appropriate standing committee of the Faculty Senate or its successor shall recommend to the administration alternative approaches for ensuring the continuation of a strong academic program, including criteria for the elimination of academic programs and the termination of individual appointments. Those recommendations shall be based on a consideration of overall educational policy, including affirmative action, as well as faculty status, including length of service.

VII.B.1-Procedures: Before terminating an appointment due to a financial exigency, the administration shall attempt to retain affected faculty members in other suitable positions or through other actions including across-the-board pay cuts, work sharing, temporary layoffs, hiring freezes, part-time assignments, and early retirement.

When the administration notifies in writing a faculty member that a decision has been made to terminate the appointment of the faculty member due to financial exigency, the administration shall explain in writing the financial and programmatic considerations leading to that decision.

VII.B.2-Appeals Process and Final Decision: The faculty member has a right to appeal the decision of the administration to terminate to the University Faculty Appeals Board on grounds alleging: (1) programmatic considerations unrelated to overall educational policy; (2) the arbitrary application of criteria for the dismissal of individuals; or (3) impermissible discrimination as defined in this document or that is otherwise unlawful. A written request for a hearing stating the grounds for appeal shall be delivered to the chair of the University Faculty Appeals Board within 30 days of notification of the decision to terminate.

At the hearing of the University Faculty Appeals Board, the burden of proof rests with the administration to establish that appropriate educational considerations were adopted and equitably applied. The burden of proof rests with the faculty member to establish that the termination was based on impermissible discrimination as defined in this document.

Within 30 days of the hearing and before the effective date of termination, the University Faculty Appeals Board shall report in writing to the president and the faculty member involved on the merits of the decision to terminate. The authority for a final decision in such cases rests with the Board of Trustees.

VII.B.3-Conditions of Termination: Faculty members dismissed due to financial exigency shall receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution. The position of a released faculty member shall not be filled by a replacement within three years of the release unless the faculty member has been offered reappointment by certified mail to the last known address and given 30 days from the receipt of the offer to accept or decline.

VII.C - Dismissal Due to Educational Considerations (Figure 8)

An academic program or unit may be discontinued for essentially educational considerations. Such decisions shall be based on the judgment that discontinuance will enhance the long-term development of the University. That judgment shall be made in consultation with a committee of the University faculty selected by the president from each of the colleges and reflect decisions as to institutional mission, strategic planning, or curriculum.

VII.C.1-Procedures: Before terminating an appointment due to the discontinuance of an academic program or unit, the administration shall attempt to retain affected faculty members in other suitable positions or in positions for which they may be retrained with consideration given to affirmative action, faculty status, and length of service.

When the administration notifies a faculty member in writing that a decision has been made to reassign the faculty member to another position or to terminate the appointment due to the discontinuance of an academic program or unit for educational considerations, the administration shall explain in writing the factors leading to that decision.

VII.C.2-Appeals Process and Final Decision: The faculty member has a right to appeal the decision of the administration to the University Faculty Appeals Board on grounds alleging: (1) considerations unrelated to institutional mission, strategic planning, or curriculum; (2) or impermissible discrimination as defined in this document or that is otherwise unlawful. A written request for a hearing stating the grounds for appeal shall be delivered to the chair of the University Faculty Appeals Board within 30 days of notification of the decision to reassign or terminate.

At the hearing, the burden of proof rests with the administration to establish that appropriate considerations justify the decision to reassign or terminate. The burden of proof rests with the faculty member to establish that the reassignment or termination was based on impermissible discrimination as defined in this document.

Within 30 days of the hearing and before the effective date of the reassignment or dismissal, the University Faculty Appeals Board shall report in writing to the president and the faculty member involved on the merits of the decision to terminate. The authority for a final decision in such cases rests with the Board of Trustees.

VII.C.3-Conditions of Termination: Faculty members dismissed due to educational considerations shall receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution. The position of a released tenured faculty member shall not be filled by a replacement within three years of the release unless the faculty member has been offered reappointment by certified mail to the last known address and given 30 days from the receipt of the offer to accept or decline.

VII.D - Dismissal for Legally Permissible Medical Reasons (Figure 8)

The termination of an appointment for legally permissible medical reasons shall be based upon clear and convincing medical evidence that the faculty member cannot, despite reasonable accommodation, continue to fulfill the essential functions of the appointment.

VII.D.1-Procedures: The decision to terminate shall be reached only after the faculty member concerned, or someone representing the faculty member, has been notified in writing of the basis of the proposed action and has been given an opportunity to respond to the evidence.

In cases where in the judgment of the president immediate suspension is necessary for legally permissible medical reasons, a faculty member may be suspended with pay pending a hearing.

VII.D.2-Appeals Process and Final Decision: The faculty member may appeal to the University Faculty Appeals Board within 30 days; and the evidence shall be reviewed by the University Faculty Appeals Board and a recommendation issued to the president before a final decision is made by the Board of Trustees on the recommendation of the administration.

VII.D.3-Conditions of Termination: Cases involving legally permissible medical reasons are each unique, and depend upon the faculty member's health care and disability insurance, Social Security and other federal law considerations, as well as applicable personnel policies at the time of the termination. Each case will be handled individually, recognizing that the University community cherishes humane principles in dealing with all members of the University community.

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SECTION VIII - PROCEDURES FOR SANCTIONS OTHER THAN DISMISSAL

Severe or minor sanctions may be imposed when the severity of the misconduct of a faculty member as defined in Section V does not merit dismissal. The following procedures shall apply in such circumstances.

VIII.A Severe Sanctions

If the dean in consultation with the administrative unit head who has supervisory responsibility considers a faculty member's misconduct sufficiently grave to justify suspension or probation for a stated period or other severe sanction, the dean shall institute a proceeding to impose such a severe sanction. The procedures outlined in Section VII shall govern such a proceeding.

VIII.B Minor Sanctions

If the administrative head or dean who has supervisory responsibility considers that the conduct of the faculty member justifies an oral or written reprimand or other minor sanction, the administrative officer shall notify the faculty member and provide the faculty member with an opportunity to respond. If the administrative officer still considers a minor sanction appropriate, the administrative officer shall impose an oral or written reprimand or other minor sanction, noting the action in the faculty member's file. The faculty member shall have an opportunity to discuss the matter with the immediate supervisor of the administrator, to respond in writing to the record of the oral or written reprimand, and to place that response in the faculty member's file. A faculty member who believes that a major sanction has been incorrectly imposed under this paragraph may petition the Committee on Faculty Grievances. The procedures outlined in Section IX govern such a proceeding.

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SECTION IX - PROCEDURES GOVERNING FACULTY GRIEVANCE

A resident faculty member alleging professional, personal, or administrative misconduct by a member of the faculty or administration may petition the Committee on Faculty Grievances for redress.

IX.A - Informal Procedures

A faculty member considering such action should consult informally with the chair of the Committee on Faculty Grievances concerning common understandings about the obligations of the University, standards of review applied by the Committee in prior grievance cases, and possible alternative approaches to the resolution of the grievance. The Committee chair shall attempt to effect an informal resolution of the grievance.

IX.B - Formal Procedures (Figure 8)

IX.B.1 - Filing a Grievance: A faculty member choosing to petition the Committee on Faculty Grievances shall file a written statement with the Committee detailing the nature of the grievance and stating against whom the grievance is directed. The statement shall contain any information or documentation that the petitioner deems pertinent to the case.

IX.B.2 - Worthiness of the Petition: The Committee on Faculty Grievances shall decide whether the grievance presents a claim worthy of consideration. In reaching its determination, the Committee shall rely on the petition and any supporting documents submitted by the faculty member. The Committee, at this stage, shall consider the statements or allegations of the faculty member in a light most favorable to the party bringing the grievance to determine whether the allegations, if proven in a hearing, would establish misconduct. The submission of a petition shall not automatically entail an investigation or detailed consideration of the charges made by the faculty member.

IX.B.3 - The Hearing: If the Committee on Faculty Grievances holds a hearing, the burden of proof rests with the petitioner. The faculty member or administrator whose actions are the subject of the petition shall respond in writing, explaining each action questioned in the petition. The parties to the grievance shall be given an opportunity to appear before the Committee to add to or explain the written record in the case. The Committee may on its own initiative request the parties involved to appear to answer questions and may request the presence of witnesses.

IX.C - Committee Recommendations and Final Report

IX.C.1 - The Committee Report: The Committee on Faculty Grievances shall submit a written report including findings of fact, conclusions, and recommendations to the parties involved and the president.

IX.C.2 - The President: If the president concurs with the recommendations of the Committee on Faculty Grievances, those recommendations shall be implemented. If the president does not concur with the recommendations of the Committee, the president and the Committee shall meet in an effort to reach agreement. In any case in which the president does not follow the recommendations of the Committee, the president shall submit a written report specifying the reasons for the action of the president to the Board of Trustees. Copies of the report of the president also shall be transmitted to the chair of the Committee on Faculty Grievances and to the parties to the grievance. The authority for a final decision in such cases rests with the Board of Trustees.

IX.D - Finality

The University's termination of a faculty member's tenure, or other adverse action against the faculty member, shall not be final until and unless one of the following has occurred: (1) The faculty member shall have failed to press an appeal within the time stated in this Statement, or shall have withdrawn such an appeal. In either event, the faculty member shall irrevocably be deemed to have consented to the termination or other adverse action, and shall not have any rights to seek a review of such action in any other University forum; or (2) the process has otherwise concluded.
 

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SECTION X - FACULTY LEAVES

Every grant of a leave of absence, sabbatical, family leave or sick leave shall include in writing: (a) a statement of how the leave affects a tenured or term appointment; (b) a statement as to how it affects continuing obligations of the individual to The University of Tulsa at the conclusion of the leave; (c) a statement of expectations of scholarly or creative activity, if relevant, during the period of the leave, and (d) a statement about the exact rate of compensation and other benefits forthcoming during the leave period.

X.A - Leaves of Absence

The decision to grant a general leave of absence shall be made by the president after considering the recommendations of the resident faculty member's academic unit, administrative head, dean, and provost.

X.B - Sabbaticals

The decision to grant a sabbatical leave of absence shall be made by the president and reported to by the Board of Trustees after considering the recommendations of the faculty member's academic unit, administrative head, dean, and provost. See Appendix IV.1.

X.C - Family and Sick Leave

Family and sick leaves may be granted with proper medical documentation and in accordance with the sick leave policies of the University. In cases of personal emergency, ill health, or family responsibilities, faculty members on a term appointment may petition the dean to have their term contract and the maximum total time on term appointment extended by one year.

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SECTION XI - RESIDENT CONTRACT FACULTY

The University of Tulsa recognizes the responsibility to develop stable relationships with faculty members whose primary responsibilities are these: (a) clinical teaching and supervision; (b) instruction in applied skills areas; (c) the teaching of entry-level skills courses in basic areas; (d) the teaching of sections of laboratory science, or (e) teaching of preprofessional studies. Nontenure-track positions are established in these areas because the stated job responsibilities do not include all of the elements required of resident tenure faculty in the discipline. Nontenure-track faculty, referred to in this Statement as resident contract faculty, may be appointed within each college under the following conditions

XI.A-Resident Contract Faculty

Resident contract faculty appointments are made for terms of one, two, three or five years and may be full- or part-time. Resident contract faculty will be eligible for five-year contracts only after their sixth year of service. Adjunct faculty, who receive compensation on an hourly or per course basis, are not classified as resident contract faculty.

XI.B-Renewal of Contracts

Resident contract appointments are renewable at the mutual agreement of the faculty member and the University, and faculty may be appointed to an unlimited number of term contracts

XI.C-Appointment Procedure

Appointment at a specified rank is initiated by the academic unit and its administrative head and is subject to approval by the dean, the provost and president. Rank is assigned according to criteria specified in writing by the academic unit and approved by the dean and provost. Standards for appointment and review are established by each college.

XI.D-Titles

Titles should allow for a sequence of ranks within a resident contract faculty line. Appropriate titles may include, but are not limited to:

Clinical [Instructor/Lecturer/Assistant Professor/Associate Professor/Professor] of [Name of Discipline].

Applied [Instructor/Lecturer/Assistant Professor/Associate Professor/Professor] of [Name of Discipline].

Visiting [Instructor/Lecturer/Assistant Professor/Associate Professor/Professor] of [Name of Discipline].

The word clinical, applied, or visiting in a title does not by itself indicate resident contract status.

XI.E-Review Schedule

Review schedules for resident contract faculty are defined by each college and are based on comparable procedures for untenured resident faculty as set forth in Sections IV.B. Resident contract faculty members appointed to a five year term are reviewed during the fall semester of the fourth year, those appointed to two- or three-year term are reviewed during the fall semester of the second year, and those appointed for one year are reviewed in the second regular semester of employment. Resident contract faculty first appointed in the spring semester are reviewed at the same time as those appointed the preceding fall, unless otherwise specified in the offer letter. At the conclusion of the review process, and upon recommendation of the academic unit and the administrative head, and with the approval of the provost, a faculty member may be offered another term contract. The first year of the new term contract replaces the final year of the existing contract if the final year has not already begun at the time of the review. Following their reviews, resident contract faculty members shall be notified in writing by April 1 that their appointments will either be renewed or be allowed to expire.

XI.F-Review Procedure

Review procedures for contract renewal or promotion of resident contract faculty are defined by each college and shall conform to procedures described in Section IV.C.1, 2, & 3 of this Statement .
Resident contract faculty members may appeal the nonrenewal of term appointments or the denial of promotion only on grounds alleging: (1) the violation of academic freedom; (2) failure to follow stated procedures or apply stated criteria; or (3) impermissible discrimination as defined in this document or that is otherwise unlawful. The burden of proof is clear and convincing evidence and rests with the faculty member. The University Faculty Appeals Board shall consider appeals of resident contract faculty members following the procedures outlined in Section VI.

XI.G-Dismissal

The dismissal of a resident contract faculty member whose term appointment has not expired shall be governed by Sections VII and VIII of this Statement on Academic Freedom, Responsibility, Rank and Tenure. Sanctions other than dismissal are governed by Section IX.

XI.H-Participation in Faculty Governance

Resident contract faculty are eligible for election to all university and collegiate committees except those charged specifically with the task of reviewing candidates for tenure and promotion. Each college shall have a written policy detailing the participation of resident contract faculty in deliberations of their academic unit on matters related to the promotion and tenure of resident tenure faculty. The collegiate policy will specify voice and vote, and may draw distinctions unique to the various disciplines and roles within each discipline. Resident contract faculty will be informed at the time of their contract offer of their status under this policy. They qualify for all privileges and benefits of the university faculty and staff employees including those contingent on length of service.

XI.I-Change of Contract Status

New faculty must be hired into either resident tenure or resident contract positions, and those hired on resident tenure-track may not subsequently elect to move from a resident tenure-track to a resident contract appointment. However, resident contract faculty members are eligible to transfer into tenure-track positions if they were initially hired after a regularly advertised, competitive search and were assigned temporarily to a nontenure-track line (i.e., as a visiting professor awaiting permanent resident status). Also, other resident contract faculty members may apply for regularly advertised tenure-track positions and resident tenure faculty may apply for resident contract positions with the understanding that: (a) the position is competitive and advertised according to standard university guidelines; (b) a full and complete search is conducted; (c) the candidate is treated no differently from any other member of the applicant pool; and (d) the position is offered in accord with established search criteria. It must be clear that the option for resident tenure faculty to apply for a resident contract position will be used only in extraordinary circumstances with the approval of the dean and provost, and that a resident contract faculty line is established to meet university needs and not as a means of avoiding the consequences of a negative tenure decision.

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SECTION XII - AMENDMENTS

XII.A Origination of Amendments

Amendments to The University of Tulsa Statement on Academic Freedom, Responsibility, and Tenure shall originate with a faculty request or petition submitted to the Faculty Senate or its successor for action or recommendation, or by recommendation of the president.

XII.B Advance Notice

A sixty-day advanced written or electronic notice of any proposed amendment shall be given to all administrative and faculty members of the University before any vote is taken by the faculty on the proposed amendment.

XII.C General Discussion Meeting

The advance notice shall specify a date, time and location for a general meeting of resident faculty members to discuss the proposed amendments. The general discussion meeting shall be scheduled thirty to forty days in advance of the vote on the proposed amendments. If there is a quorum of fifty resident faculty members present at the general discussion meeting, amendments germane to the proposed amendments may be made from the floor and adopted by a two-thirds vote in accordance with Robert’s Rules of Order without regard to the advance notice requirement.

XII.D Approval of Amendments by Faculty Senate

Any amendments to the proposed amendments must be reviewed and approved by the Faculty Senate in order for them to be voted on and adopted by the entire faculty.

XII.E Voting by Faculty

Written or electronic copies of any amendments to the proposed amendments adopted at the general discussion meeting and approved by the Faculty Senate shall be distributed to all administrative and faculty members of the University at least fifteen days before the beginning of the period for voting. Amendments to the Statement on Academic Freedom, Responsibility and Tenure shall take effect when approved by two-thirds of the resident faculty, voting either by ballot or electronic tally; when approved by the president; and when approved by the Board of Trustees of The University of Tulsa. The period for voting shall be designated by the Faculty Senate and may extend over more than a single day, but in no event for more than one week.

APPENDICES

APPENDIX I: Figures

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