Compliance Certification Report

 

 

3.7.4 The institution ensures adequate procedures for the safeguard and protection of academic freedom.

[Compliance]

Narrative:
The University of Alabama in Huntsville (UAH) is in compliance with Principle 3.7.4 because it safeguards and protects academic freedom. Evidence is demonstrated through widely disseminated and easily accessed published policy statements, board rules, published procedures, and case data.

UAH is committed to the principle of academic freedom, endorses AAUP's statement on academic freedom, and views academic freedom as integral to fulfillment of its mission. The UAH Faculty Handbook, Chapter 7, Section 15.1 states:
Academic freedom of the faculty is indispensable to fulfilling the University's mission. The University endorses the following excerpt from the statement on academic freedom from the AAUP Policy Documents and Reports, (1990):
  1. Teachers are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

  2. Teachers are entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to their subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.

  3. College and University teachers are citizens, members of a learned profession and officers of an educational institution. When they speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As scholars and educational officers, they should remember that the public may judge their profession and their institution by their utterances. Hence they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution.

Because academic freedom and tenure are critically linked, policy and practice in awarding tenure may be used to assess a University's commitment to academic freedom. The UAH Faculty Handbook, Chapter 7, Section 3.3 reflects UAH's understanding of the relationship between academic freedom and tenure.
Tenure is a means both to protect academic freedom in teaching, research, and of extramural activities and to ensure a sufficient degree of economic security to make the profession attractive to men and women of ability. Once awarded, tenure will be strictly observed in accordance with the guidelines in the AAUP Policy Documents and Reports (1990) and consistent with official University of Alabama System guidelines.

Board Rule 301 of the Board of Trustees of the University of Alabama Board Manual states that:
The definition of tenure to be used in each campus policy should recognize that tenure is an affirmative commitment by the Board of Trustees to a faculty member, generally offered after a probationary period of employment, of a right to continuing employment except upon dismissal for cause, retirement, resignation, bona fide financial exigency of the campus or division in which tenure is held, or major curtailment or formal discontinuance of a program or department of instruction.

UAH has adopted the statement of the nature of tenure reflected in Board Rule 301, as quoted above. A tenure contract is for an academic year and gives the faculty member the contractual right to be employed for succeeding academic years until the faculty member resigns, retires, is discharged for cause, is terminated pursuant to bona fide financial exigency, or major curtailment or formal discontinuance of a program or department of instruction, or becomes permanently disabled or dies. This contract is subject to the terms and conditions of employment that exist from one academic or calendar year to the next, but such terms will not be inconsistent with this policy, nor will a faculty member be reduced in rank except for just cause.

Tenure is granted only to those faculty members who show evidence of substantial growth and future promise. Except in unusual circumstances, tenure will be granted only to persons with a terminal degree. The respective faculties of the UAH Library and of the UAH Colleges of Administrative Science, Engineering, Liberal Arts, Nursing, and Science have the responsibility for recommending action on tenure. Board Rule 301 further states that tenure is held "only in the unit in whose name tenure has been awarded, not in the system as a whole."

The principles and procedures for faculty appointment, promotion, and tenure are addressed specifically and in detail in the UAH Faculty Handbook, Chapter 7 for all categories of faculty positions. The initial letter of appointment offer conveys the terms and conditions of the appointment, including, if appropriate, the mandatory tenure year. Likewise, the criteria for promotion in faculty rank and the award of tenure, as well as procedures to be followed are presented in detail in the UAH Faculty Handbook, Chapter 7. Equally detailed information regarding notice of non-renewal of probationary appointments and termination of appointments, including termination for cause. These procedures are reflective of AAUP policy documents.
The linkage of academic freedom, tenure, and due process is historically clear in the policy statements and proceedings of the American Association of University Professors. Consequently, the profile of faculty status regarding tenure may be considered to be reflective of institutional commitment to academic freedom. At UAH 57 percent of full-time faculty are tenured, and an additional 21 percent are in tenure earning status. Current data show that non-tenure track, full-time faculty hold 21 percent of full-time faculty positions at UAH, a figure that is comparable to that reported in AAUP's report, "The Status of Non-Tenure-Track Faculty."

Table 3.7.4.a Full-Time Faculty Tenure Status at UAH



Adequate procedures for the safeguard and protection of academic freedom are in place and are published in the UAH Faculty Handbook. UAH has adopted AAUP's policy on professional ethics for all faculty members, and thereby addresses freedom of inquiry, faculty responsibility for protection of academic freedom of students, the distinction of faculty expressing opinion in public as a private citizen and speaking on behalf of the University. The University adopted the following excerpt from the "Statement on Professional Ethics" from the AAUP Policy Documents and Reports, (1990) which is published in the UAH Faculty Handbook, Chapter 7, Section 14.2:
  1. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.

  2. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student's true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.

  3. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates. In the exchange of criticism and ideas professors show due respect for the opinions of others. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.

  4. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.

  5. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons they avoid creating the impression of speaking or acting for their college or University. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

The policy provided in the UAH Faculty Handbook, Chapter 7, Section 17 clarifies the University's position regarding political activity of faculty as individual citizens, as distinct from association with the University, as well as use of University resources for political activity.
Faculty members are authorized to engage in political activity provided that it does not result in a conflict of interest or interfere with their performance of assigned duties at the University. Public support of a political candidate or cause may be given by University employees if they clearly indicate that they speak for themselves and not for the University. Employees may not lend the name of their University positions or departments to the political campaigns of public candidates or to any causes that become matters of civic concern. Violations of this policy are grounds for dismissal.

University employees desiring to seek election to public office must first obtain written consent from the chancellor through appropriate reporting channels.

No University employee may use or permit to be used University resources, time, or property for or on behalf of any political candidate, campaign, or organization or for any contribution or solicitation of any contribution to any campaign or organization.

Political activity on the part of a University employee must comply with Board Rule 302 of the Board of Trustees of The University of Alabama and existing state and federal laws. Employees who have a question about their involvement in such activities should seek guidance and approval from the University.


This policy is reflective of Board Rule 304, Political Activities of University Personnel, as well. A policy concerning extramural activities and conflict of interest is supportive of issues associated with academic freedom. This policy is published in the UAH Faculty Handbook, Chapter 7, Section 15.3.

UAH recognizes contributions and achievements by its faculty not only through appropriate compensation and promotion, but also by permitting faculty members substantial freedom in arranging their academic lives. Although teaching, research and service to the University are the primary functions of UAH faculty, the University recognizes the desirability of making faculty skills available to outside entities such as business, government, professional societies, and other appropriate groups consistent with their commitment to the University. Providing outside services of a professional nature contributes significantly to the public welfare, offers opportunities for professional challenge and growth, brings recognition to the institution, and contributes to the improvement of teaching and research programs. For these reasons, UAH encourages faculty activities outside the University so long as the activity is consistent with the mission and goals of the University and does not compromise the University, or unduly limit the faculty member's ability to fulfill his or her primary obligations to the University.

The University has no interest in setting forth policies and procedures that may interfere with legitimate outside interests of faculty members. Issues of academic freedom are addressed elsewhere in the UAH Faculty Handbook, Chapter 7, Section 14.1. However, by accepting employment with UAH, full-time faculty members confirm that their primary professional commitment is to the University. Outside obligations, financial interests or other activities shall not interfere with this primary obligation (UAH Faculty Handbook, Appendix I: Conflict of Interest Policy).

In addition, a general grievance procedure published in the UAH Faculty Handbook, Appendix E is in place whereby faculty who believe academic freedom rights have been violated have access to due process. This due process involves the administrative chain and, if dissatisfaction remains or is warranted, there is a Faculty Appeals Committee process. The Faculty Appeals Committee is an elected body of the faculty of the institution. These policies and procedures provide appropriate safeguards for the protection of academic freedom.

In April of 2005, the Office of Legal Counsel of The University of Alabama System reported via memorandum that no grievances concerning academic freedom have been heard by the Faculty Appeals Committee during the review period. Likewise, the Offices of the Dean of Administrative Science, the Dean of Engineering, the Dean of Liberal Arts, the Dean of Nursing, and the Dean of Science report that no academic freedom grievances have been received in their offices since the last SACS accreditation review.

Published policies and procedures are widely disseminated and easily accessed through the UAH Faculty Handbook and the UAH website. There is no evidence to suggest that practice deviates from policy.

  Source    Location
  Board of Trustees of the University of Alabama Board Manual, Board Rule 301   goto:http://sacs.uah.edu/documents/handbooks/board_trustees_UA_manual.pdf#page=67
  Board of Trustees of the University of Alabama Board Manual, Board Rule 302   goto:http://sacs.uah.edu/documents/handbooks/board_trustees_UA_manual.pdf#page=71
  Board of Trustees of the University of Alabama Board Manual, Board Rule 304: Political Activities of University Personnel   goto:http://sacs.uah.edu/documents/handbooks/board_trustees_UA_manual.pdf#page=79
  Memorandum from Office of Legal Counsel   goto:http://sacs.uah.edu/documents/assessment/3_7_4sacs_inquiry_memo.pdf
  UAH Faculty Handbook, Appendix E: General Grievance Procedures   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=91
  UAH Faculty Handbook, Appendix I: Conflict of Interest Policy   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=107
  UAH Faculty Handbook, Chapter 7   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=22
  UAH Faculty Handbook, Chapter 7, Section 14.2: Professional Ethics   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=51
  UAH Faculty Handbook, Chapter 7, Section 15.1: Academic Freedom   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=56
10    UAH Faculty Handbook, Chapter 7, Section 15.3: Extramural Activities and Conflict of Interest   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=57
11    UAH Faculty Handbook, Chapter 7, Section 17: Political Activity   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=57
12    UAH Faculty Handbook, Chapter 7, Section 3.3: Tenured Faculty Contracts   goto:http://sacs.uah.edu/documents/handbooks/faculty_handbook.pdf#page=30
13    UAH Website   goto:http://www.uah.edu/
  SACS - Compliance Certification

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