Faculty Governance Web Site

 

 

5.

UNIVERSITY OF KENTUCKY – FACULTY APPOINTMENT, REAPPOINTMENT, PROMOTION, TENURE

  I. Federal Laws and Regulations
           
        A. Board Governing Regulations affirming UK is subject to federal, state laws (GR II, pg 1, para 1)
        B. Federal Codes of Regulation 29 CFR 1627.3(b)(2) – terms of merit-based systems documented, communicated to employees
        C. Federal Codes of Regulation 29 CFR 1627.6 – the records required by 29 CFR 1627.3 are to be easily accessible
        D. UK Deposition in KY Circuit Court UK tenure case – states UK is subject to laws relating to equal employment opportunities
        E. UK General Counsel memo 02/20/91 – “Age Discrimination” (re: UK policies and these federal, state laws)
           
  II. State Laws and Their Administrative Interpretation    top
           
        A. KRS 164.220 – Board of Trustees appoints professors, determines their compensation, duties, official relations
        B. KRS 164.225 – Board of Trustees has jurisdiction over qualifications, salaries... promotions
        C. KRS 164.230 – Board of Trustees cannot dismiss  faculty members but for incompetence, neglect, refusal to perform duties
        D. KRS 61.878(3) – Open Records Law; faculty have access to ALL of their own personnel records, in any file
        E. KRS 61.810 (1) – Open Meetings Law; meetings/minutes of College, Department faculties open to and recordable by anyone
        F. KRS 61.810(2)(_) - Meetings concerning appointment, discipline or dismissal of faculty member may go into closed session
        G. KRS 171.640 – Documentation of Agency Matters” (re:  documenting policies, procedures, transactions affecting legal rights)
        H. KRS 171.680 –  Records Management by Agencies” (re: proper retention of KRS 171.640-records)
        I. KRS 171.710 –  Safeguarding Agency Records” (re: UK President informs all employees about recordkeeping)
        J. Attorney General Decisions involving UK
          1.   Attorney General Opinion to UK OAG 94-25 (re: applying Open Meetings Law to College, Dept. faculty meetings)
          2.   Attorney General Decisions in Open Records Case Appeals involving University of Kentucky
          3.   Attorney General Decisions in Open Meetings Case Appeals involving University of Kentucky
        K. Letter Kentucky Dept. Libraries and Archives (KDLA)  to UK President 07/14/94 (re: Scheduled retention periods for UK records)
        L. Memo KDLA to UK President, 07/14/94 (re: documentation of how and why of decisions; minutes of committee meetings)
        M. VP Academic Affairs memo, 09/02/76 (re: restricted third party access to faculty personnel records)
        N. President’s 02/07/92 memo (re: making faculty aware of state recordkeeping laws during new faculty orientation)
        O. Lex Campus Chancellor memo, 09/07/94 (re: Open Records Law, Archives and Records Law, Open Meetings Law)
        P. UK President memo, 01/25/95 (re: Open Records Law, Archives and Records Law, Open Meetings Law)
        Q. Medical Center Chancellor memo, 12/03/97 (re: “Faculty Personnel Records,” retention periods)
        R. Legal Counsel Office memo 10/26/95 (re: application of Open Meetings Law to search committees for academic unit administrators)
        S. Legal Counsel Office memo 10/19/95 (re: application of Open Meetings Law to search committees and tenured faculty meetings
        T. President’s 07/01/01 memo (re: appointment of Official Custodian of Records; Open Records procedures)
           
  III. UK Board of Trustees’ Governing Regulations on (re)Appointment, Promotion, Tenure  top
      A PROCEDURES
        1. GR II.A.6 – Board of Trustees appoints professors, determines compensation, duties, official relations; has jurisdiction over qualifications, salaries ... promotions; dismisses faculty only for incompetence, neglect, refusal to perform duties
        2. GR VIII.B – Board delegates to President final decision on appointments, promotions below associate professors; authorizes  President to further delegate that final decision-making; requires consultation with Senate Council before establishing decisional procedures
        3. GR VII.B.2 – Graduate School Dean makes recommendations on appointments/promotions to associate and full professor; tenure
        4. GR VII.B.3 – College Dean makes recommendations/delegated decisions on (re)appointment, promotions, tenure
        5. GR VII.B.4 – School Director makes recommendations on (re)appointment, promotions, tenure
        6. GR VII.B.5 – Dept. Chair responsible for recommendations on (re)appointment, promotions, tenure
        7. GR X.B – Tenured vs. nontenured positions; tenure probationary period; appointment record; notification of nonreappointment; dismissal
        8. GR X.B.4 Notification of nonreappointment
        9. GR X.B.5 Dismissal while employed on an existing contract
      B. CRITERIA OR EVIDENCES OF ACTIVITY
        1. GR IV, pg 3 – Senate recommends to President's [delegate] on criteria for (re)appointment, promotion, tenure
        2. GR VII.A.2 – President establishes qualifications for after consulting Senate Council; Board approves major changes in criteria
        3. GR VII.A.3 –  Qualifications for appointment to Graduate Faculty
        4. GR VII.A.6 – Dept. Faculty has responsibility to initiate establishment of dept-level evidences towards (re)appt., promotion and tenure.
        5. GR X.A –  Merit is basis of appointment
           
  IV. Administrative Regulations on (Re)Appointment, Promotion and Tenure  top
    (A) UK President’s Current Administrative Regulations on (re)Appointment, Promotion, Tenure
      A PROCEDURES
        1. AR II-1.0-1 Page I - Introduction
        2. AR II-1.0-1 Page II - Appointments
        3. AR II-1.0-1 Page III - Promotion and Tenure
        4. AR II-1.0-1 Page IV - Academic Employment
        5. AR II-1.0-1 Page XII - Academic Area Advisory Committees
        6. AR II-1.0-1 Page XIII - Procedural Flow Chart - Appointments
        7. AR II-1.0-1 Page XIV - Procedural Flow Chart - Tenure
        8. AR II-1.0-10 Recruitment and Selection of Faculty
        9. AR II-1.0-11 Tenured Faculty Review and Development Policy
        10. AR II-1.1-8 Employment or Assignment of Faculty and Staff Related to Out-Of-State Programs
      B CRITERIA OR EVIDENCES OF ACTIVITY
        1. AR II-1.0-1 Page V - Appointment and Promotion Regular Titles, dated 9/20/1989
        2. AR II-1.0-1 Page V - Appointment and Promotion Regular Titles, effective 1/1/2000
        3. AR II-1.0-1 Page VI - Appointment and Promotion Extension
        4. AR II-1.0-1 Page VII - Appointment and Promotion Special Title
        5. AR II-1.0-1 Page VIII - Appointment and Promotion Research
        6. AR II-1.0-1 Page IX - Appointment and Promotion Medical Center
        7. AR II-1.0-1 Page X - Appointment and Promotion Librarian
        8. AR II-1.0-1 Page XI - Appointment and Promotion Adjunct
      C. Related Documents
        1. AR II-1.0-1 Page XV - Appx I - Governing Regulations, Pt VII.B.5
        2. AR II-1.0-1 Page XVI - Appx II - Faculty Workload Policy Statement
        3. AR II-1.0-5 Faculty Performance Review
    (B) Historical UK Documents Which Were Predecessors to Current Administrative Regulations
        A. Historical Reviews of the Establishment of Each Faculty Title Series of Ranks
        B. History of the Role of College Deans in University of Kentucky Faculty Tenure Decisions
        C. History of the Appointment and Review of Department Chairs and Deans
        D. President Oswald’s Oct 1963 Memo on Faculty Appt/Promotion/Tenure Criteria
        E. First Issuance of AR II-1.0-1 on March 1, 1972 (codifying 1963 memo and intervening additional memos)
        F. A History of the Honorary Degree Process at the University of Kentucky
                     
  V. Administrative Memoranda Interpreting/Implementing UK Appointment/Promotion/Tenure Regulations     top
           
        A. Senate Advisory Committee on Appointment, Promotion and Tenure March 31, 1971 memo to President
        B. President’s 09/29/1992 memo “Teaching Portfolio”
        C. President’s 04/14/97 memo [re: regulations require issuing annual terminal contracts to Research and Clinical title series faculty]
        E. President’s 04/11/97 memo [re: notice requirements in terminating Research and Clinical title series faculty]
        F. Vice President’s 10/30/74 memo [re: requesting President’s interpretation on function of college-level advisory committee]
        G. President’s 10/31/74 memo [re: interpreting the function of college level advisory committee on appt., promotion, tenure]
        I. Senate Council memo 10/29/82 to President [re: initial appts., joint appointments, Extension series criteria; Area Committees]
        J. “Procedures for Faculty Appointment, Promotion and Tenure"
          1.   Provost’s July 30, 2003 memo
          2.   Provost's 2004 memo
          3.   Provost's August 26, 2005 memo
        K. Provost’s July 17, 2003 memo “Promotion Procedures” [re: for LCC]
        L. Provost’s Sept. ___, 2002 memo “Promotion and Tenure Procedures, AY 2001-2002
        M. Provost's 07/17/03 Memo "Review of Dossiers" [re: Policies for Area Committees]
        N. Provost's Memos on Faculty Performance Review
          1.   2003 Faculty Performance Review
          2.   2004 Faculty Performance Review
          3.   2005 Faculty Performance Review
        O. Med Chancellor’s 08/21/96 memo [re: to Lex Campus Chancellor on prior service; transmitting dept. opinion; position description]
        P. Vice Chancellor’s 04/05/95 memo [re: notification of nonrenewal of Research Title Series appointments]
        Q. President’s 04/14/97 memo [re: issuing annual terminal contracts to Research and Clinical Title Series faculty]
        R. President’s 08/05/97 memo [re: interpreting ARII-1.0-5 on materials for peer review of teaching]
        S. President’s 04/11/97 memo [re: issuing annual terminal contracts to Research and Clinical Title Series faculty]
        T. Senate Council Chair’s 10/29/82 memo [re: advising President on Extension Series criteria; Area Committee compositions]
        U. President’s 03/23/98 memo [re: to Board member who requested info on regulations for faculty appt/promotion/perf. review]
        V. Chancellor’s 06/05/86 memo [re: Mandated tenure progress reviews – major cause of appeal complaint]
           
  VI. Administrative Forms Implementing UK Appointment/Promotion/Tenure Regulations  top
        A. Notice of Appointment Form June 1966
        B. Notice of Reappointment Form June 1966
        C. Notice of Terminal Reappointment Form June 1966
        D. Notice of Appointment Form March 1971
        E. Notice of Reappointment Form EO-3 March 1971
        F. Notice of Terminal Reappointment Form March 1971
        G. Notice of Academic Appointment and Assignment Form (E0-2) June 1976
H. Notice of Academic Appointment and Assignment Form (E02) Rev. July 1982
        I. Notice of Academic Appointment and Assignment Form (E02) Rev. Jan. 1987
        J. Notice of Primary Academic Appointment and Assignment Form (ca. 1995)
        K. Notice of Secondary Academic Appointment and Assignment form (ca. 1995)
        L. Notice of Primary Academic Appointment and Assignment form (ca. 1997)
        M.

Notice of Secondary Academic Appointment and Assignment form (ca. 1997)

N.

Notice of Academic Appointment and Assignment form (ca. 1999)

           
  VII. UK Board Regulations on Department/College-level Policies and Procedures; Administrative Implementation   top
        A. GR VII.A.6 – Dept. faculty has primary responsibility for development of policies on academic requirements, courses of study, class schedules, graduate and research programs, and service functions. (see President’s 01__/71; 04/11/74 memos)
        B. President’s 01/08/71 memo [re: “Establishing Rules of Procedure and Structures of Committees or Councils]
        C. COM Chairs Meeting Minutes 03-01-77 re VP for Academic Affairs 02-04-77 memo
        D. President’s 04/02/74 memo [re: “Establishing Rules of Procedure and Structures of Committees and/or Councils in Educational Units]
        E. Senate minutes 04/22/74 [re: announcing President’s 01/08/74 memo; Senate is repository; Senate copies open for perusal as models]
        F. President’s 02/07/92 memo [re: “Establishing Rules of Procedure and Structures of Committees and/or Councils in Educational Units]
        G. Assistant Chancellors 03/12/92 memo [re: Guidelines for Establishing Rules of Procedure and Structures of Committees]
        H. Assistant Chancellor’s 04/10/92 memo [re: Guidelines for Establishing Rules of Procedure and Structures of Committees; “These departmental procedures need to come from the faculty”]
        I. Assistant Chancellor’s 06/12/92 memo [re: “It is neither the Dean nor the department chair that determines the organization and rules: it is the faculty]
        J. President’s 02/11/93 memo [re: renewed call for submission of dept./college Rules of Procedure and Structures of Committees]
        K. Assistant Chancellor’s 09/02/94 memo [re: feedback to depts./colleges on improving their unit’s submitted Rules document]
        L. Lex Campus Chancellor’s 01/17/95 memo [re: renewed call for submission of revised unit Rules documents]
        M. Assistant Chancellor’s 02/10/95 memo [re: again renewed call for submission of revised unit Rules documents]
        N. Vice Chancellor’s 10/13/97 memo [re: call for electronic submission of unit Rules documents for web posting]
           
  VIII. Information For Prospective and New Faculty Members  top
        A. President’s 08/12/74 memo to UK faculty [re: Information for Prospective and New Faculty Members; Faculty Files]
        B. VP for Academic Affairs 02/04/77 memo [re: need for compliance with President’s 08/12/74 memo]
        C. President’s 08/12/91 memo to Chancellors/VPs [re: Information for Prospective and New Faculty Members; Faculty Files]
        D. Chancellor’s 08/21/91 memo to Deans and Chairpersons [re: compliance with President’s 08/12/91 memo]
        E. Vice Chancellor’s 07/23/95 memo to Med Center Deans [re: compliance with President’s 08/12/91 memo]
        F. President’s new AR II-1.0.1.II.H establishing “Standard Personnel Files” with intramural faculty member access to his/her records
        G. President’s Special Asst. for Acad. Affairs 05/08/92 memo articulating unit administrator is to secure faculty access to their own records
        H. 1982 Policy Statement on Standards for an Official Employee File
        I. 08-05-2005 Memo from Provost Smith to Deans re: Information Concerning New Faculty
           
  IX. Areas of Activity, Evidence of Activity, Criteria, Standards and Expectations for Appointment, Promotion, Tenure
           
      Pre-1963 – Little Framework Exists for Faculty Governance in Academic Departments
        A. Board’s Dec. 1960-adopted Governing Regulations on functions of academic Dept. “Head” and Dept. “Staff”
        B. Board’s 05/31/63 minutes – [re: Board votes to appoint John D. Oswald as UK President]
           
      1963-1975 – Presidents Support Faculty Governance to Establish Unit-Discipline-Level Criteria Elaborations
        C. Board of Trustees minutes, 10/18/63 [re: Board authorizes new President Oswald to promulgate UK’s first University-wide criteria]
        D. President’s memo 10/28/64 [re: President promulgates UK’s first University-wide criteria for appointment, promotion, tenure, salary increase; drawn heavily from written policies of the University of California, Davis, from where President Oswald was recruited]
        E. Faculty Council minutes 03/09/64 [re: President Oswald consulted with Faculty Council before issuing University-wide criteria]
        F. President’s 09/17/64 memo to UK faculty [re: reporting the Board’s amending Gov. Regs. on Dept. Chair’s role in tenure process]
        G. Board’s new Gov. Regs., adopted 09/15/64 [re: amending Gov. Regs. on Dept. Chair’s role in tenure process]
        H. President’s 09/22/65 memo [re: informing administrators of newly adopted criteria for faculty ranks in Community College System]
        H1. Provost 07/08/69 and President's 07/11/69 decisions on proposal to establish tenured CC System faculty title series for CC Directors
        I. President’s 04/28/65 memo [re: informing Deans/Chairs of criteria for ranks in newly adopted titles series (Special, Adjunct, Lecturer)]
        J. Criteria for ranks of Special Title Series [appended to President’s 04/28/65 memo]
        J1. Form for submitting request to establish Special Title Series position [appended to President's 06/27/66 memo]
        K. Criteria for ranks of Adjunct Title Series [appended to President’s 04/28/65 memo]
        K1. President's 10/28/63 memo [re:  University governance and faculty personnel policies]
        L. Criteria for appointment and performance review of Lecturer Title Series [appended to President's 04/28/65 memo]
        L1. Criteria for ranks of Research Title Series [as first promulgated in 1979]
        M. Board of Trustees minutes May, 1970 [re: Board adopts revised Governing Regulations, culminating from Oswald’s 1963 initiatives]
        N.

Board’s new 1970 Governing Regulations VII.A.6 - [Dept. faculty has primary responsibility for development of policies on academic requirements, courses of study, class schedules, graduate and research programs, and service functions]

        O. Board’s new 1970 Governing Regulations VII.B.5 – states “Procedures and criteria” used include those established by dept. faculty
        P. President on 08/12/70, approves College’s proposed criteria for clinical or part-time faculty appt/promotion, submitted under new GRs
        Q. Presidents 01/08/71 memo [re: that dept. faculty policy-making under GR VII.A.6 includes establishing teaching evaluation criteria]
        R. President’s first issuance of Admin. Regs. for faculty personnel actions, March 1972, drawn heavily from Oswald’s Oct. 1963 memo
        S. President’s 1972 AR II-1.0-1.V – identifies teaching/advising, research/creative activity, professional activity, university/public service  as “Areas of Activity,; requires their be “evidence of activity” under each area that is “appropriate to the field,” (but does not specify what those evidences are for each specific University discipline); that are to be evaluated toward “General Criteria for Ranks”
        T. President’s 1972 AR II-1.0-1.VI - delegates to academics unit authority to propose criteria for promotion/tenure of Special Title Series
        U. President’s  1972 AR II-1.0-1.VI - delegates to faculty Area Advisory Committee ‘final disapproval authority’ on proposed STS criteria
        V. President’s 1972 AR II-1.0-1.VIII - delegates to faculty Area Adv. Committee ‘final disapproval authority’ on proposed Adjunct positions
        W. President’s 1974 amendment to AR II-1.0-5.B authorizing academic units to establish “expectations” of performance toward tenure
        X. Presidents 04/11/74 memo [re: that dept. faculty policy-making under GR VII.A.6 includes establishing teaching evaluation criteria]
        Y. President issues 07/09/74 memo [at request of Senate] on  “Establishing Standards of Performance” for promotion/tenure [5 items]
        Z. President issues 11/21/74 memo [re: some depts. balk at item #3, establishing tenure standards, President “suspends” 07/09/74 memo]
           
     

1975 – 2001 – Presidents Whittle Away at Faculty’s Governance Role in Establishing Unit-Discipline-Level Criteria Elaborations

        AA. Chancellor’s 04/15/95 court deposition – states depts. are authorized to request, and have approved, unit-level criterial elaborations
        BB. Chancellor’s 06/07/94 court deposition – states that under AR II-1.0-1.V obtaining grant funds is not itself an a measure toward tenure
        CC. President’s Spec. Asst. Acad. Affairs 02/27/95 memo uses carefully parsed words to make it appear units cannot elaborate criteria
        DD. President amends AR II-1.0-1.___ to remove from college the authority to establish promotion criteria for voluntary series faculty
        EE. President issues Oct. 4, 1995 memo interpreting that GR VII.B.5 does not authorize academic units to establish independent criteria
        FF. Senate Council Chair’s memo to President, that some academic units already have administratively-approved criterial elaborations
        GG. President’s _____ memo acknowledging that AR II-1.0-1 anticipates academic units will articulate “expectations” toward tenure
        HH. President submits to Senate Council, Board, deletion of reference of GR VII.B.5 to department faculty establishing “criteria”; buries it among a number of other ‘editorial changes’; characterizes all changes as “editorial”; slips the change by both Board and SC
        II. SC protests to President that deletion of word “criteria” from GR VII.B.5 is substantive, not editorial
        JJ. President issues Oct. 23, 2000  memo again acknowledging it is “appropriate” for academic units to establish articulations of tenure “expectations”
        KK. President’s new 2001 AR II-1.0-1.XI-1 [issued without consulting the Senate Council, and at instigation of Chancellor Zinser] removes faculty Area Adv. Committee from governance role in Adjunct positions, to make the process more “expeditious.”
        LL. Examples of Colleges/Departments Establishing Written, Discipline-Specific Criterial Elaborations on Evidences and Expectations
          (1).   Graduate Center for Toxicology - From GCT Unit Rules document, pages 8-12
     
  X. Academic Area Advisory Committees    top
     
  XI. Procedures of Appeal of (Re)Appointment, Promotion, Tenure Decisions  top
        A.

Dismissal of tenured faculty member or of untenured during contract period - Regulations

            1. GR X.B.5   Procedures for Dismissal of Tenured Faculty Member
            2.

GR X.B.6   Procedures for Dismissal of Untenured Faculty Member During Contract Period

        B.

Denial of tenure, promotion or contract renewal – Administrative appeal based on merit

            1.

GR VII.B.4 Dean shall speak for college faculty in faculty promotion and tenure.

            2.

AR II-1.0-1.I – Disapproval, based on stated reasons, is discussed among all concerned parties

            3.

KY Supreme Court – Hayse Tenure Case – Court decision that the Board was the only level (not also the Chairperson, Dean, Vice Pres [= Provost], or President) with authority to render final disapproval (therefore the reference in AR II-1.0-1.I to “disapproval at any level,” had to mean to include where the administrative level is only making disapproval recommendation; the AR II-1.0-1.I language on this part today is still exactly as in 1978)

            4.

KY Circuit Court Injunction – Hayse Tenure Case –  Court decides that UK regulations mean as follows: on account of GR VII.B.4 and AR II-1.0-1.I, each level making recommendation or decision must state reasons in writing.

            5.

Academic Area Advisory Committees – At 1998  meeting of committee chairs, it is agreed, with concurrence of UK Legal Counsel, that letters written by Deans and Chairpersons must state reasons

            6.

GR XII.H - Faculty may appeal decision affecting their employment, including beginning at level that made disapproval that is at issue.pdf

        C. Denial of tenure, promotion or contract renewal – Administrative appeal based on violation of procedure or  academic freedom
            1. AR II-1.0-1.I Appeal violations of procedure or privilege to Provost
        D. Denial of tenure, promotion or contract renewal – Academic appeal based on violation of procedure, academic freedom or academic privilege
            1. Faculty Academic Committees That Hear Academic Appeals On Faculty Academic Status
                a. SR1.4.4.2 Charges to Senate Advisory Committee on Privilege and Tenure – committee for cases of denial of promotion, tenure, contract renewal
                b. SR1.4.4.3 Charges to  Senate Advisory Hearing Panel (Privilege and Tenure) – committee for cases of dismissal of tenured faculty or untenured faculty during contract period
            2. Historical Background of Senate Advisory Committee on Privilege and Tenure
                a. New President Oswald discusses with Senate Council establishment of this new Senate Committee
                b.

Senate Council Chair first reports to Senate establishment of this new Senate Advisory Committee on Privilege and Tenure (SACPT)

                c. First assignment of this new committee is assessing which university faculty have acquired “de facto” tenure by virtue of continued reappointment beyond end of probationary period
                d. First assignment to committee culminates in Board of Trustee’s Jan. 1965 recognition of “de facto” tenure status of ca. 70 assistant professors
                e.

Senate Council interprets SACPT charge re: its interpretation of policy regulations

                f. SACPT 04/06/65 memo [re: to President Oswald, describing the committee’s policies and  procedures relating to its expanded charge to hear cases of denial of tenure, under University’s new fixed probationary period for untenured faculty;]
                g. Exec VP 12-20-65 Response to SACPT Chair's 04-06-65 Letter to President Oswald
                h. President Oswald's June 27, 1966 Memo Publishing Proposed SACPT Procedures
            3. Historical Background of Senate Advisory Hearing Panel (Privilege and Tenure)
                a.

Pres. Singletary 11-07-69 Requests Senate Council to Recommend New Language on UK Faculty Dismissal Procedures

                b. Senate Council Chair on 11-19-69 Forwards to SACPT Request to Recommend New Language for UK Faculty Dismissal Procedures
                c. SACPT 12-19-70 Cover Letter to Pres. Singletary on Recommended New Language on UK Faculty Dismissal Procedures
                d.

SACPT 01-06-70 Cover Letter to Senate on Recommended New Language for Faculty Dismissal Procedures

                e.

Language Recommended 01-06-70 by SACPT to Univ. Senate for Gov. Regs. on Faculty Dismissal Procedures

                f.

Language Recommended 01-06-70 by SACPT to Univ. Senate for Senate Rules on Changes to SACPT & SAHP

            4. Other Historical Aspects of Senate Advisory Committe on Privilege and Tenure
                a. Special Asst to President 12/18/71 memo [re: summarizing various university policies on  reappointment and nonrenewal]
                b. Senate Council Chair 06/06/76 memo [re: to President, on role of SACPT in cases of discrimination]
           
  XII. De facto Tenure  (‘Automatic tenure’); tenure as Asst. Professor; promotion to Asso. Professor w/out tenure
        A. December 1960 Gov. Regs providing mechanism of award of de facto tenure at rank of Assistant Professor
        B. Special Asst. to President memo [re: to Paul Oberst explaining how College of Agriculture utilized de facto tenure process]
        C. Special Asst. to President 10/30/64 memo [re: explaining to Deans how 1960’s Gov. Regs. create a mechanism for de facto tenure
        D. Board Action on President's Recommendation to Confer De Facto Tenure to Assistant Professors
        E. May 1970 Gov. Regs. providing mechanism of award of de facto tenure at rank of Assistant Professor
        F. Case 1 – 1971
        G. Case 2 – 1972
        H. Case 3 – 1973
        I. Case 4 – 1974, 1977
        J. Current Gov. Regs. providing mechanism of award of de facto tenure at rank of Assistant Professor
        K. Current Administrative Regulations reflecting prior awards of de facto tenure at rank of Assistant Professor
           
   

Precedents of Unusual Faculty Appointment, Promotion or Tenure Actions

           
        L. Precedent case of promotion from Asst. Professor without tenure to Asso. Professor without tenure
        M. Precedent case of award of tenure at Assistant Professor level for reasons other than de facto tenure
        N. Precedent case of part-time faculty member with tenure
        O. Precedent case of full-time tenured faculty member changes to nontenure track title series
        P. Precedent case of change of full-time Regular Title Series to full-time Special Title Series Faculty member
        Q. Precedent case of change of full-time Special Title Series to full-time Clinical Title Series Faculty member
        R. Precedent case of Retroactive Promotion to Professor (retroactive to 3 yrs)
           
    Examples of Full Dossiers of Actual Faculty Appointment, Promotion or Tenure Actions
           
        AA. Initial Appointment as Professor
            i. External letters independently solicited
            ii. External letters suggested by candidate
            iii. Letters written by department faculty
            iv. Department Chairperson’s letter
            v. Letter submitted by College faculty committee
            vi. Dean’s Recommendation
            vii. Graduate School Dean’s recommendation
            viii. Academic Area Advisory Committee letter
            ix. Chancellor’s recommendation and President’s concurrence
            x. Chancellor’s post-decisional notification to Dean
           
  XIII. Specific Cases of Appeal    top
        A. Tenured Faculty Member Criticizes Administration: Board Threatens Dismissal - O'Bannon Case
        B. Dismissal of a tenured UK faculty member for Neglect of Duty/Immoral Conduct - Schenck Case
        C. Dismissal of an untenured UK faculty member during contract year - Villarino Case
        D. Untenured Faculty Member Criticizes Administration: Board Refuses Contract Renewal - Sutherland Case
        E. The Case of Abby Marlatt
        F. The Case of Gladys Kammerer
        G. Untenured Faculty Member Criticizes Tobacco Industry; Board Does Not Renew Contract - Calhoun Case
        H. Appeal of denial of award of tenure or promotion - summaries of actual case examples
        I. Appeal of denial of untenured reappointment of untenured faculty member -  summaries of actual case examples
        J. The Case of AR Crandall (PDF)         The Case of AR Crandall (PPT)
           
  XIV. Annual Reports of Senate Advisory Committee for Privilege and Tenure  top
        A. Calendar year 1970 Annual Report
        B. Calendar year 1971 Annual Report
        C. Academic Year 1976-1977 Annual Report
        D. Academic Year 1978-1979 Annual Report
        E. Academic Year 1980-1981 Annual Report
        F. Academic Year 1982-1983 Annual Report
        G. Academic Year 1984-1985 Annual Report
        H. Academic Year 1985-1986 Annual Report
        I. Academic Year 1988-1989 Annual Report
        J. Academic Year 1991-1992 Annual Report
        K. Academic Year 1992-1993 Annual Report
        L. Academic Year 1993-1994 Annual Report
        M. Academic Year 1994-1995 Annual Report
        N. Academic Year 1995-1996 Annual Report
        O. Academic Year 1996-1997 Annual Report
        P. Academic Year 1997-1998 Annual Report
        Q. Academic Year 1998-1999 Annual Report
        R. Academic Year 1999-2000 Annual Report
        S. Academic Year 2000-2001 Annual Report
        T. Academic Year 2001-2002 Annual Report
           
  XV. Regulations and Presidential Statements on Academic Freedom and Privilege    top
        A. Academic Freedom as Applied to University Faculty
            1.

First State Law on UK Faculty: Dismissal Only For Cause (March 1880)

            2. Amended First State Law on UK Faculty: May Be Dismissed At Will (April 1880)
            3. Board Declaration to Faculty ca. 1890,  prior  to enacted (1934) of today’s tenure law KRS 164.230
            4. Current Tenure Law: Dismissal Only for Incompetency, Neglect/Refusal to Perform Duty, Immoral Conduct. KRS 164.230, enacted 1934
            5. Board of Trustees’ Declaration to Public (re: Lester O’Bannon Case) 1939
            6. President Donovan to Board 9/15/42 Appraisal of University Administrative Organization 1942
            7. President Donovan’s Private Communication On Processes to Protect Faculty Academic Freedom 1942
            8. President Dickey’s Joint Public Statement With AAUP (re: Gladys Kammerer Case) 1957
            9. President Dickey’s Private Statement to Board of Trustees (re: Abby Marlatt Case) 1963
            10. President Oswald's Statement on University Free Speech, Presented to Board of Trustees May 7, 1968
            11. Current Board Governing Regulation GR X.C.7 - "Faculty Members as Scholars and Citizens" (adopted 1970)
            12. Current Board Governing Regulation GR X..B.6 - "Academic Freedom of Untenured Faculty" (adopted 1970)
            13. Current Board-Approved Admin. Reg.  AR II-1.0-2 – “ free intellectual inquiry and an open exchange of ideas” (adopted 1969)
            14. Early 1970’s Commencement Address by President Singletary on freedom of speech in university setting
            15. Town Meeting address by Chancellor Hemenway on sharing of information in a university setting 1990
            16. Statement to the press by Acting President Charles Wethington on academic freedom in university setting 1990
            17. Chancellor Hemenway's Lexington Campus Agenda that included UK being "a living example of democracy at work."
            18. Faculty Governance Statement by Dean Tom Robinson 2003
            19. Faculty Member Exercises Free Speech to Protest Board Member's Offensive Epithet
           
        B.

Academic Freedom as Applied  to University Administrators

            1. Executive Vice President Albright Admonishment to University Administrator 1963
            2. Current Board Governing Regulation GR X.C.8 on “Academic Freedom” of Administrative Personnel (adopted 1970)
            3. President Singletary Admonishment Communicated Through Vice President Lewis Cochran 1974
            4. 04/12/90 Memo by Chancellor Hemenway to Deans advocating that they "Be frank" and "Challenge The System."
            5. President Allegedly Threatens Dean With Dismissal for Public Dissension From President’s Management Decision 2000
            6. Academic Unit Administrators Exercise Free Speech to Protest Board Members Offensive Epithet
           
  XVI. Specific Cases of Appeal of Violation of Faculty Privilege   top
        A.

Assertion of Privilege by Individual Faculty Member

            1. General Harassing Treatment by Unit Administrator
            2. Switching of Teaching Assignments Without Consultation; Head's Disparagement of Individual
            3. Attempted Termination of Faculty Member for Reason of Individual’s Criticism of Departmental and University Operations
            4. Faculty Member asserts right under GR XII.H to appeal negative intellectual property case decision
        B. Assertion of Privilege by the Department Faculty
            1. Failure of Unit Administrator to Initiate a Promotion Requested by Unit Faculty
            2. Animal Sciences Dept. Faculty Petition President Roselle to Review Dept. Chairperson
            3. A Lex Campus Dept Faculty Renders a Vote of No Confidence on Dept. Chairperson
            4. Dept. of Medicine Faculty Object to New Chairperson Recommended by Search Committee 1978
            5. A Unit Faculty Object to Dean’s Appointment of New Unit Administrator Who Was Not Recommended by Search Committee
        C. Assertion of Privilege by the College Faculty
            1. LCC Faculty Vote of No Confidence in LCC President May 12, 1997
            2. LCC Faculty Petition Senate to Present to Board a LCC Request for Board Directive to President Feb 2, 2004
            3. College Faculty Opinion on Negative Effect of College Dean, Expressed Through Periodic Review Self Study Document
        D. Assertion of Privilege of Dissent  by the University Senate
            1. University Senate Adopts Resolution to Board of Trustees Protesting Acting Presidential Appointment Process 1989
            2. University Senate Adopts Resolution to Board of Trustees Protesting Presidential Search Process 1990
            3. University Senate Adopts Resolution to Board of Trustees Protesting Board Member’s Use of Racial Epithet 1988
            4. University Senate Adopts Resolution to Board of Trustees Protesting Process of Extension of President’s Contract 1999
            5. University Senate Initiates Open Meetings Violation Enforcement Against Board of Trustees 1999
               
  XVII. Court Actions Against UK Concerning Faculty Personnel Actions     top
           
        A. Case of ‘X’
            i. Dean’s letter denying tenure
            ii. Portion of faculty member’s appeal to Senate Advisory Committee on Privilege and Tenure
            iii. Recommendation in favor of faculty member by Senate Advisory Committee on Privilege and Tenure
            iv. Upon President’s rejection of SACPT recommendation in favor of faculty member, sex discrimination lawsuit is filed
            v. University Legal Office opposes faculty member’s access to tenure letters concerning her case and other unit cases
            vi. Judge orders University to allow  faculty member’s access to tenure letters of her own and other unit cases
            vii. University reaches out of court settlement with faculty member
           
        B. ‘Hayse Case’
            i. Hayse Case - Original Complaint
            ii. Hayse Case - March 1981 Affidavit
            iii. Newspaper Report of Court of Appeals Decision to Reinstate Hayse with Tenure
            iv. Supreme Court Decision – Text
            v. Court Injunction Against University of Kentucky Compelling Ab Initio Reconsideration of Hayse Tenure Case
            vi. President Wethington memo to Board of Trustees 'explaining' why Hayse case dossier is reaching them for decision
            vii. President Wethington memo to Board of Trustees recommending that Board reject tenure for Dr. Hayse
            viii. Minutes of Board of Trustees 08/18/93 meeting showing Board rejecting tenure for Dr. Hayse
            ix UK Legal Office General Counsel reporting to District Court about UK's "compliance" with injunction
            x. Newspaper Report of UK Board Decision to Deny Tenure to Hayse
            xi. New Administrative Regulation Promotion-Tenure Flow Chart 1982
            xi. Hayse Case - Current Status 2002
            xii. The Case of Joseph Murray Hayse (PDF)  The Case of Joseph Murray Hayse (PPT)
           
        C. ‘Chung Case’
            i. Chancellor Hemenway's Deposition in ‘Chung Case’
                   
                   
                   
                   

 

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Last Modified  25 May 2006