5. |
UNIVERSITY OF KENTUCKY – FACULTY APPOINTMENT,
REAPPOINTMENT, PROMOTION, TENURE |
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I. |
Federal Laws and Regulations |
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A. |
Board Governing
Regulations affirming UK is subject to federal, state laws (GR II, pg 1,
para 1) |
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B. |
Federal Codes of
Regulation 29 CFR 1627.3(b)(2) – terms of merit-based systems documented,
communicated to employees |
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C. |
Federal Codes of
Regulation 29 CFR 1627.6 – the records required by 29 CFR 1627.3 are to be
easily accessible |
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D. |
UK Deposition in
KY Circuit Court UK tenure case – states UK is subject to laws relating to
equal employment opportunities |
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E. |
UK General Counsel
memo 02/20/91 – “Age Discrimination” (re: UK policies and these federal,
state laws) |
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II. |
State Laws and Their Administrative Interpretation
top |
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A. |
KRS 164.220 –
Board of
Trustees appoints professors, determines their compensation, duties,
official relations |
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B. |
KRS 164.225 –
Board of
Trustees has jurisdiction over qualifications, salaries... promotions |
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C. |
KRS 164.230 –
Board of
Trustees cannot dismiss faculty members but for incompetence, neglect,
refusal to perform duties |
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D. |
KRS 61.878(3) –
Open Records
Law; faculty have access to ALL of their own personnel records, in any file |
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E. |
KRS 61.810 (1) –
Open Meetings
Law; meetings/minutes of College, Department faculties open to and
recordable by anyone |
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F. |
KRS 61.810(2)(_) -
Meetings
concerning appointment, discipline or dismissal of faculty member may go
into closed session |
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G. |
KRS 171.640 –
“Documentation of
Agency Matters” (re: documenting policies, procedures, transactions
affecting legal rights) |
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H. |
KRS 171.680 –
“Records Management
by Agencies” (re: proper retention of KRS 171.640-records) |
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I. |
KRS 171.710 –
“Safeguarding Agency
Records” (re: UK President informs all employees about recordkeeping) |
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J. |
Attorney General Decisions involving
UK |
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1. |
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Attorney General
Opinion to UK OAG 94-25 (re: applying Open Meetings Law to College,
Dept. faculty meetings) |
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2. |
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Attorney General Decisions in Open Records Case Appeals involving University
of Kentucky |
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3. |
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Attorney
General Decisions in Open Meetings Case Appeals involving University of
Kentucky |
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K. |
Letter Kentucky
Dept. Libraries and Archives (KDLA) to UK President 07/14/94 (re:
Scheduled retention periods for UK records) |
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L. |
Memo KDLA to UK
President, 07/14/94 (re: documentation of how and why of decisions;
minutes of committee meetings) |
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M. |
VP Academic
Affairs memo, 09/02/76 (re: restricted third party access to faculty
personnel records) |
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N. |
President’s
02/07/92 memo (re: making faculty aware of state recordkeeping laws
during new faculty orientation) |
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O. |
Lex Campus
Chancellor memo, 09/07/94 (re: Open Records Law, Archives and Records
Law, Open Meetings Law) |
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P. |
UK President
memo, 01/25/95 (re: Open Records Law, Archives and Records Law, Open
Meetings Law) |
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Q. |
Medical Center
Chancellor memo, 12/03/97 (re: “Faculty Personnel Records,” retention
periods) |
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R. |
Legal Counsel
Office memo 10/26/95 (re: application of Open Meetings Law to search
committees for academic unit administrators) |
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S. |
Legal Counsel
Office memo 10/19/95 (re: application of Open Meetings Law to search
committees and tenured faculty meetings |
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T. |
President’s
07/01/01 memo (re: appointment of Official Custodian of Records; Open
Records procedures) |
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III. |
UK
Board of Trustees’ Governing Regulations on (re)Appointment, Promotion,
Tenure
top |
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A |
PROCEDURES |
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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 |
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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 |
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3. |
GR VII.B.2 –
Graduate
School Dean makes recommendations on appointments/promotions to associate
and full professor; tenure |
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4. |
GR VII.B.3 –
College
Dean makes recommendations/delegated decisions on (re)appointment,
promotions, tenure |
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5. |
GR VII.B.4 –
School
Director makes recommendations on (re)appointment, promotions, tenure |
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6. |
GR VII.B.5 –
Dept. Chair responsible for recommendations on (re)appointment, promotions,
tenure |
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7. |
GR X.B –
Tenured vs. nontenured positions; tenure
probationary period; appointment record; notification of nonreappointment;
dismissal |
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8. |
GR X.B.4 –
Notification
of nonreappointment |
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9. |
GR X.B.5 –
Dismissal
while employed on an existing contract |
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B. |
CRITERIA OR EVIDENCES
OF ACTIVITY |
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1. |
GR IV, pg 3 –
Senate recommends to President's [delegate] on criteria for (re)appointment,
promotion, tenure |
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2. |
GR VII.A.2 –
President establishes qualifications for after consulting Senate Council;
Board approves major changes in criteria |
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3. |
GR VII.A.3 –
Qualifications for appointment to Graduate Faculty |
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4. |
GR VII.A.6 –
Dept. Faculty has responsibility to initiate establishment of dept-level
evidences towards (re)appt., promotion and tenure. |
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5. |
GR X.A –
Merit is basis
of appointment |
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IV. |
Administrative
Regulations on (Re)Appointment, Promotion and Tenure
top |
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(A) |
UK President’s Current Administrative
Regulations on (re)Appointment, Promotion, Tenure |
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A |
PROCEDURES |
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1. |
AR II-1.0-1
Page I - Introduction
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2. |
AR II-1.0-1
Page II - Appointments
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3. |
AR II-1.0-1
Page III - Promotion
and Tenure |
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4. |
AR II-1.0-1
Page IV - Academic
Employment |
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5. |
AR II-1.0-1
Page XII - Academic
Area Advisory Committees |
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6. |
AR II-1.0-1
Page XIII - Procedural
Flow Chart - Appointments |
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7. |
AR II-1.0-1
Page XIV - Procedural
Flow Chart - Tenure |
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8. |
AR II-1.0-10
Recruitment and
Selection of Faculty |
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9. |
AR II-1.0-11
Tenured Faculty
Review and Development Policy |
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10. |
AR II-1.1-8
Employment or
Assignment of Faculty and Staff Related to Out-Of-State Programs |
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B |
CRITERIA OR EVIDENCES
OF ACTIVITY |
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1. |
AR II-1.0-1
Page V - Appointment
and Promotion Regular Titles, dated 9/20/1989 |
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2. |
AR II-1.0-1
Page V - Appointment
and Promotion Regular Titles, effective 1/1/2000 |
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3. |
AR II-1.0-1
Page VI - Appointment
and Promotion Extension |
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4. |
AR II-1.0-1
Page VII - Appointment
and Promotion Special Title |
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5. |
AR II-1.0-1
Page VIII -
Appointment and Promotion Research |
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6. |
AR II-1.0-1
Page IX - Appointment
and Promotion Medical Center |
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7. |
AR II-1.0-1
Page X - Appointment
and Promotion Librarian |
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8. |
AR II-1.0-1
Page XI - Appointment
and Promotion Adjunct |
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C. |
Related Documents |
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1. |
AR II-1.0-1
Page XV - Appx I -
Governing Regulations, Pt VII.B.5 |
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2. |
AR II-1.0-1
Page XVI - Appx II -
Faculty Workload Policy Statement |
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3. |
AR II-1.0-5
Faculty Performance
Review |
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(B) |
Historical UK Documents
Which Were Predecessors to Current Administrative Regulations |
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A. |
Historical Reviews of the Establishment of Each Faculty Title Series of
Ranks |
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B. |
History of the Role of College Deans in University of Kentucky Faculty
Tenure Decisions |
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C. |
History of the Appointment and Review of Department Chairs and Deans |
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D. |
President Oswald’s Oct 1963 Memo on Faculty Appt/Promotion/Tenure Criteria |
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E. |
First
Issuance of AR II-1.0-1 on March 1, 1972
(codifying 1963 memo and
intervening additional memos) |
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F. |
A History of the Honorary Degree Process at the University of Kentucky |
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V. |
Administrative
Memoranda Interpreting/Implementing UK Appointment/Promotion/Tenure
Regulations
top |
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A. |
Senate Advisory
Committee on Appointment, Promotion and Tenure March 31, 1971 memo to
President |
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B. |
President’s
09/29/1992 memo “Teaching Portfolio” |
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C. |
President’s
04/14/97 memo [re: regulations require issuing annual terminal contracts
to Research and Clinical title series faculty] |
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E. |
President’s
04/11/97 memo [re: notice requirements in terminating Research and
Clinical title series faculty] |
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F. |
Vice President’s
10/30/74 memo [re: requesting President’s interpretation on function of
college-level advisory committee] |
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G. |
President’s
10/31/74 memo [re: interpreting the function of college level advisory
committee on appt., promotion, tenure] |
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I. |
Senate Council
memo 10/29/82 to President [re: initial appts., joint appointments,
Extension series criteria; Area Committees] |
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J. |
“Procedures for Faculty
Appointment, Promotion and Tenure" |
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1. |
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Provost’s July
30, 2003 memo |
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2. |
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Provost's 2004 memo |
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3. |
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Provost's August 26, 2005 memo |
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K. |
Provost’s July
17, 2003 memo “Promotion Procedures” [re: for LCC] |
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L. |
Provost’s Sept. ___,
2002 memo “Promotion and Tenure Procedures, AY 2001-2002 |
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M. |
Provost's
07/17/03 Memo "Review of Dossiers" [re: Policies for Area Committees] |
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N. |
Provost's Memos on Faculty Performance Review |
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1. |
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2003 Faculty Performance Review |
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2. |
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2004 Faculty Performance Review |
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3. |
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2005 Faculty Performance Review |
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O. |
Med Chancellor’s
08/21/96 memo [re: to Lex Campus Chancellor on prior service;
transmitting dept. opinion; position description] |
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P. |
Vice Chancellor’s
04/05/95 memo [re: notification of nonrenewal of Research Title Series
appointments] |
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Q. |
President’s
04/14/97 memo [re: issuing annual terminal contracts to Research and
Clinical Title Series faculty] |
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R. |
President’s
08/05/97 memo [re: interpreting ARII-1.0-5 on materials for peer review
of teaching] |
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S. |
President’s
04/11/97 memo [re: issuing annual terminal contracts to Research and
Clinical Title Series faculty] |
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T. |
Senate Council
Chair’s 10/29/82 memo [re: advising President on Extension Series
criteria; Area Committee compositions] |
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U. |
President’s
03/23/98 memo [re: to Board member who requested info on regulations for
faculty appt/promotion/perf. review] |
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V. |
Chancellor’s 06/05/86 memo [re: Mandated tenure progress reviews – major
cause of appeal complaint] |
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VI.
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Administrative
Forms Implementing UK Appointment/Promotion/Tenure Regulations
top |
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A. |
Notice of Appointment Form June 1966 |
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B. |
Notice of Reappointment Form June 1966 |
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C. |
Notice of Terminal Reappointment Form June 1966 |
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D. |
Notice of Appointment
Form March 1971 |
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E. |
Notice of Reappointment Form EO-3 March 1971 |
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F. |
Notice of Terminal
Reappointment Form March 1971 |
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G. |
Notice of Academic Appointment and Assignment Form (E0-2) June 1976 |
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H. |
Notice of Academic Appointment and Assignment Form (E02) Rev. July 1982 |
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I. |
Notice of Academic Appointment and Assignment Form (E02) Rev. Jan. 1987 |
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J. |
Notice of Primary Academic Appointment and
Assignment Form (ca. 1995) |
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K. |
Notice of Secondary Academic Appointment and Assignment form (ca. 1995)
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L. |
Notice of Primary Academic Appointment and Assignment form (ca. 1997)
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M. |
Notice of Secondary Academic
Appointment and Assignment form (ca. 1997) |
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N. |
Notice of Academic Appointment and Assignment form (ca. 1999) |
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VII. |
UK Board
Regulations on Department/College-level Policies and Procedures;
Administrative Implementation top |
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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) |
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B. |
President’s
01/08/71 memo [re: “Establishing Rules of Procedure and Structures of
Committees or Councils] |
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C. |
COM Chairs Meeting Minutes 03-01-77 re VP for Academic Affairs 02-04-77
memo |
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D. |
President’s
04/02/74 memo [re: “Establishing Rules of Procedure and Structures of
Committees and/or Councils in Educational Units] |
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E. |
Senate minutes
04/22/74 [re: announcing President’s 01/08/74 memo; Senate is
repository; Senate copies open for perusal as models] |
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F. |
President’s
02/07/92 memo [re: “Establishing Rules of Procedure and Structures of
Committees and/or Councils in Educational Units] |
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G. |
Assistant
Chancellors 03/12/92 memo [re: Guidelines for Establishing Rules of
Procedure and Structures of Committees] |
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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”] |
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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] |
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J. |
President’s
02/11/93 memo [re: renewed call for submission of dept./college Rules of
Procedure and Structures of Committees] |
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K. |
Assistant
Chancellor’s 09/02/94 memo [re: feedback to depts./colleges on improving
their unit’s submitted Rules document] |
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L. |
Lex Campus
Chancellor’s 01/17/95 memo [re: renewed call for submission of revised
unit Rules documents] |
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M. |
Assistant
Chancellor’s 02/10/95 memo [re: again renewed call for submission of
revised unit Rules documents] |
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N. |
Vice
Chancellor’s 10/13/97 memo [re: call for electronic submission of unit
Rules documents for web posting] |
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VIII. |
Information For
Prospective and New Faculty Members
top |
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A. |
President’s
08/12/74 memo to UK faculty [re: Information for Prospective and New
Faculty Members; Faculty Files] |
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B. |
VP for
Academic Affairs 02/04/77 memo [re: need for compliance with President’s
08/12/74 memo] |
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C. |
President’s
08/12/91 memo to Chancellors/VPs [re: Information for Prospective and
New Faculty Members; Faculty Files] |
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D. |
Chancellor’s
08/21/91 memo to Deans and Chairpersons [re: compliance with President’s
08/12/91 memo] |
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E. |
Vice
Chancellor’s 07/23/95 memo to Med Center Deans [re: compliance with
President’s 08/12/91 memo] |
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F. |
President’s
new AR II-1.0.1.II.H establishing “Standard Personnel Files” with intramural
faculty member access to his/her records |
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G. |
President’s
Special Asst. for Acad. Affairs 05/08/92 memo articulating unit
administrator is to secure faculty access to their own records |
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H. |
1982 Policy Statement on Standards for an Official Employee File |
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I. |
08-05-2005 Memo from Provost Smith to Deans re: Information Concerning
New Faculty |
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IX. |
Areas of
Activity, Evidence of Activity, Criteria, Standards and Expectations for
Appointment, Promotion, Tenure |
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Pre-1963 – Little
Framework Exists for Faculty Governance in Academic Departments |
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A. |
Board’s Dec.
1960-adopted Governing Regulations on functions of academic Dept. “Head” and
Dept. “Staff” |
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B. |
Board’s 05/31/63
minutes – [re: Board votes to appoint John D. Oswald as UK President] |
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1963-1975 –
Presidents Support Faculty Governance to Establish Unit-Discipline-Level
Criteria Elaborations |
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C. |
Board of
Trustees minutes, 10/18/63 [re: Board authorizes new President Oswald to
promulgate UK’s first University-wide criteria] |
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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] |
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E. |
Faculty Council
minutes 03/09/64 [re: President Oswald consulted with Faculty Council
before issuing University-wide criteria] |
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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] |
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G. |
Board’s new Gov.
Regs., adopted 09/15/64 [re: amending Gov. Regs. on Dept. Chair’s role
in tenure process] |
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H. |
President’s
09/22/65 memo [re: informing administrators of newly adopted criteria
for faculty ranks in Community College System] |
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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 |
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I. |
President’s
04/28/65 memo [re: informing Deans/Chairs of criteria for ranks in newly
adopted titles series (Special, Adjunct, Lecturer)] |
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J. |
Criteria for
ranks of Special Title Series [appended to President’s 04/28/65 memo] |
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J1. |
Form for
submitting request to establish Special Title Series position [appended
to President's 06/27/66 memo] |
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K. |
Criteria for
ranks of Adjunct Title Series [appended to President’s 04/28/65 memo] |
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K1. |
President's 10/28/63 memo [re: University governance and faculty
personnel policies] |
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L. |
Criteria for
appointment and performance review of Lecturer Title Series [appended to
President's 04/28/65 memo] |
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L1. |
Criteria for
ranks of Research Title Series [as first promulgated in 1979] |
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M. |
Board of
Trustees minutes May, 1970 [re: Board adopts revised Governing
Regulations, culminating from Oswald’s 1963 initiatives] |
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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] |
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O. |
Board’s new 1970
Governing Regulations VII.B.5 – states “Procedures and criteria” used
include those established by dept. faculty |
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P. |
President on
08/12/70, approves College’s proposed criteria for clinical or part-time
faculty appt/promotion, submitted under new GRs |
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Q. |
Presidents
01/08/71 memo [re: that dept. faculty policy-making under GR VII.A.6
includes establishing teaching evaluation criteria] |
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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 |
|
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|
|
W. |
President’s 1974 amendment to
AR II-1.0-5.B
authorizing academic units to establish “expectations” of performance toward
tenure |
|
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|
|
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] |
|
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|
|
Z. |
President issues
11/21/74 memo [re: some depts. balk at item #3, establishing tenure
standards, President “suspends” 07/09/74 memo] |
|
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|
|
1975 – 2001 – Presidents Whittle Away at Faculty’s Governance Role in
Establishing Unit-Discipline-Level Criteria Elaborations |
|
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|
|
AA. |
Chancellor’s
04/15/95 court deposition – states depts. are authorized to request, and
have approved, unit-level criterial elaborations |
|
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|
|
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 |
|
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|
|
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 |
|
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|
|
FF. |
Senate Council
Chair’s memo to President, that some academic units already have
administratively-approved criterial elaborations |
|
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|
|
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 |
|
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|
|
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.” |
|
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|
|
LL. |
Examples of Colleges/Departments Establishing Written, Discipline-Specific
Criterial Elaborations on Evidences and Expectations |
|
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|
|
(1). |
|
Graduate
Center for Toxicology - From GCT Unit Rules document, pages 8-12 |
|
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X. |
Academic Area Advisory Committees
top |
|
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|
XI. |
Procedures of Appeal of (Re)Appointment, Promotion, Tenure Decisions
top |
|
|
|
|
A. |
Dismissal of tenured faculty member or
of untenured during contract period - Regulations |
|
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|
|
1. |
GR X.B.5 Procedures for Dismissal of Tenured Faculty Member |
|
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|
2. |
GR X.B.6 Procedures for Dismissal of Untenured Faculty Member
During Contract Period |
|
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|
B. |
Denial of tenure, promotion or contract
renewal – Administrative appeal based on merit |
|
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|
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|
|
1. |
GR VII.B.4
Dean shall speak for college faculty in faculty promotion and tenure. |
|
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|
2. |
AR II-1.0-1.I – Disapproval, based on stated reasons, is discussed among all
concerned parties |
|
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|
|
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) |
|
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|
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. |
|
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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 |
|
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|
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
|
|
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|
|
|
1. |
AR II-1.0-1.I Appeal violations of procedure or privilege to Provost |
|
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|
|
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 |
|
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|
|
|
|
|
|
a. |
SR1.4.4.2 Charges to Senate
Advisory Committee on Privilege and Tenure – committee for cases of denial
of promotion, tenure, contract renewal |
|
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|
|
|
|
|
|
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 |
|
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|
|
|
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 |
|
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|
|
|
|
b. |
Senate
Council Chair first reports to Senate establishment of this new Senate
Advisory Committee on Privilege and Tenure (SACPT) |
|
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|
|
|
|
|
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 |
|
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|
|
|
|
d. |
First assignment to committee culminates in Board of Trustee’s Jan. 1965
recognition of “de facto” tenure status of ca. 70 assistant professors |
|
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|
|
e. |
Senate Council interprets SACPT charge re: its interpretation of policy
regulations |
|
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|
|
|
|
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 |
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5. |
University Senate Initiates Open Meetings Violation Enforcement Against
Board of Trustees 1999 |
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XVII. |
Court Actions
Against UK Concerning Faculty Personnel Actions
top |
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A. |
Case of ‘X’ |
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i. |
Dean’s
letter denying tenure |
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ii. |
Portion
of faculty member’s appeal to Senate Advisory Committee on Privilege and
Tenure |
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iii. |
Recommendation in favor of faculty member by Senate Advisory Committee on
Privilege and Tenure |
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iv. |
Upon
President’s rejection of SACPT recommendation in favor of faculty member,
sex discrimination lawsuit is filed |
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v. |
University
Legal Office opposes faculty member’s access to tenure letters concerning
her case and other unit cases |
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vi. |
Judge
orders University to allow faculty member’s access to tenure letters
of her own and other unit cases |
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vii. |
University reaches out of court settlement with faculty member |
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B. |
‘Hayse Case’ |
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i. |
Hayse Case - Original Complaint |
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ii. |
Hayse Case - March 1981 Affidavit |
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iii. |
Newspaper Report of Court of Appeals Decision to Reinstate Hayse with Tenure |
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iv. |
Supreme Court Decision – Text |
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v. |
Court Injunction Against University of Kentucky Compelling Ab Initio
Reconsideration of Hayse Tenure Case |
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vi. |
President Wethington
memo to Board of Trustees 'explaining' why Hayse case dossier is reaching
them for decision |
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vii. |
President Wethington memo to Board of Trustees recommending that Board
reject tenure for Dr. Hayse |
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viii. |
Minutes of Board of Trustees 08/18/93 meeting showing Board rejecting tenure
for Dr. Hayse |
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ix |
UK Legal Office General Counsel reporting to District Court about UK's
"compliance" with injunction |
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x. |
Newspaper Report of UK Board Decision to Deny Tenure to Hayse |
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xi. |
New Administrative Regulation Promotion-Tenure Flow Chart 1982 |
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xi. |
Hayse Case - Current Status 2002 |
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xii. |
The Case of Joseph Murray Hayse
(PDF) The Case of Joseph Murray Hayse
(PPT) |
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C. |
‘Chung Case’ |
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i. |
Chancellor Hemenway's Deposition in ‘Chung Case’ |
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