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APPENDIX VII 1940 Statement of Principles on Academic Freedom and Tenure In 1940, es of the American Association of University Professors and of the Association of American Colleges agreed upon a restatement of principles set ement is known to the Tenure. The 1940 Statement in printed below, followed by Interpretive Comments as developed by representative of the es during 1969. The 1990, adopted several riginal text. is to promote public understanding and support of academic freedom and tenure f higher education are al teacher ( The word tached to an academic ties) or the institution as a whole. The common good depends upon the free esearch. Freedom in aspect is fundamental of the teacher in teaching and of the student to freedom in learning. It carries with it duties correlative with rig (Bold-faced numbers in brackets refer to Interpretive Comments which follow) Tenure is tramural activities and (2) a sufficient degree of economic security to make the profession attractive to men and women of ability. ree a titution in fulfilling its obligation ACADEMIC FREEDOM a. the results, subject to the adequate performance of his other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution. b. The teacher is 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.[2] 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] c. College and university teachers are citizens, members of a learned profession, and officers of an educational institution. When they speak or writes as citizens, they should free from institutional With 1970 Interpretive Comments following a series of joint conferences begun in 1934, representativ forth in the 1925 Conference Statement on Academic Freedom and Tenure. This restat profession as the 1940 Statement of Principles on Academic Freedom and American Association of University Professors and the Association of American Colleg governing bodies of the association, meeting respectively in November 1989 and January changes in language in order to remove gender-specific references from the o The purpose of this statement and agreement upon procedures to assure them in colleges and universities. Institutions o conducted for the common good and not to further the interest of either the individu “teacher” as used in this document is understood to include the investigator who is at institution without teaching du search for truth and its free exposition. Academic freedom is essential to these purposes and applies to both teaching and r research is fundamental to the advancement of truth. Academic freedom in its teaching for the protection of the rights hts.[1] a means to certain; specifically: (1) freedom of teaching and research and of ex F dom nd economic security, hence, tenure, are indispensable to the success of an ins s to its students and to society. The teacher is entitled to full freedom in research and in the publication of 1 censorship or discipline, but, their special position in the community impo As scholars and educational officers, they should remember that the p profession and their institution by their utterances. Henc ses special obligations. ublic may judge their e they should at all times be accurate, raint, should show respect for the opinions of others, and should make every effort re not speaking for the institution.[4] rmanent or continuous tenure, and their service should be terminated only for adequate cause, except in the case of retirement for age, or u e In th e le academic practice: 1. writing and be in the mated. 2. higher rank,[5] the eriod full-time service ubject to the proviso that when, after a term of , a teacher is called to ay be agreed in writing that his appointment is for a probationary period of not more than four years, even though thereby the person’s total probationary period in the ears.[6] Notice should od if the teacher is not 3. reedom that all other 4. for cause of a teacher considered by both a institution, in all cases where the facts are in d riting of the charges should have the opportunity to be heard in his own defense by all bodies that pass judgment upon his case. He should be permitted to have with him an adviser of his own choosing who may act as counsel. There should be a full stenographic record of the hearing available to the parties concerned. In the hearing of charges of incompetence the testimony should include that of teachers and other scholars, either from his own or from other institutions. Teachers on continuous appointment who are dismissed for reasons not involving moral turpitude should receive their salaries for at least a year from the date of notification of dismissal whether or not they are continued in their duties at the institution.[9] 5. Termination of a continuous appointment because of financial exigency should be demonstrably bona fide. should exercise appropriate rest to indicate that they a ACADEMIC TENURE After the expiration of probationary period, teachers or investigators should have pe nder xtraordinary circumstances because of financial exigencies. e int rpretation of this principle it is understood that the following represents acceptab The precise terms and conditions of every appointment should be stated in possession of both institution and teacher before the appointment is consum Beginning with appointment to the rank of full-time instructor of probationary period should not exceed seven years, including within this p in all institutions of higher education; but s probationary service of more than three years in one or more institutions another institution it m academic profession is extended beyond the normal maximum of seven y be given at least one year prior to the expiration of the probationary peri to be continued in service after the expiration of that period.[7] During the probationary period a teacher should have the academic f members of the faculty have.[8] Termination for cause of a continuous appointment, or the dismissal previous to the expiration of a term appointment, should, if possible, be faculty committee and the governing board of the ispute, the accused teacher should be informed before the hearing in w against him and 2 1940 INTERPRETATIONS At the conference of representatives of the American Association of University Professors and of the Association of American Colleges on November 7-8, 1940, the following interpretations of the 1940 Statement of P cip s on agreed upon: 1. ion should not be retroactive. 2. dorsement should be ference Statement on 3. r has not observed the and believes that the grave doubts concerning the teacher’s fitness for his or her position, it may proceed to file charges under paragraph (a)(4) of the section such charges the administration should remember ens. In such cases the vestigation. dom and Tenure with s, a Joint Committee of the AAUP and the Association of American Colleges met during 1969 to reevaluate this key policy statement. ommittee felt that the experience gained in t needs. llowing “Interpretive ociation of University policy. In the thirty years since their promulgation, the principles of the 1940 Statement of Principles on Academic Freedom and Tenure have undergone a substantial amount of refinement. This has evolved through a variety of processes, including customary acceptance, understandings mutually arrived at between institutions and professors or their representatives, investigations and reports by the American Association of University Professors, and formulations of statements by that Association either alone or in conjunction with the Association of American Colleges. These comments represent the attempt of the two associations, as the original sponsors of the 1940 Statement, to formulate the most important of these refinements. Their incorporation here as Interpretive comments is based upon the premise that the 1940 Statement is not a static code but a fundamental document designed to set a framework of norms to guide adaptations to changing times and circumstances. rin le Academic freedom and Tenure were That its operat That all tenure claims of teachers appointed prior to the en determined in accordance with the principles set forth in the 1925 Con Academic Freedom and Tenure. If the administration of a college or university feels that a teache admonitions of paragraph (c) of the section on Academic freedom extramural utterances of the teacher have been such as to raise on Academic Tenure. In pressing that teachers are citizens and should be accorded the freedom of citiz administration must assume full responsibility, and the American Association of University Professors and the Association of American Colleges are free to make an in 1970 INTERPRETIVE COMMENTS Following extensive discussions on the 1940 Statement of Principles on Academic Free leading educational associations and with individual faculty members and administrator On the basis of the comments received, and the discussions that ensued, the Joint C preferable approach was to formulate interpretation of the Statement in terms of the implementing and applying the Statement for over thirty years and of adapting it to curren The Committee submitted to the two Associations for their consideration the fo Comments.” These interpretations were approved by the Council of the American Ass Professors in April, 1970, and endorsed by the Fifty-sixth Annual Meeting as Association 3 Also, there have been relevant developments in the law itself reflecting a growing insis due process within the academic community which parallels the essential concepts o particularly relevant is the identification by the Supreme Court of academic freedom as a First Amendment. As the Supreme Court said in Keyishain v. Board of Regents 385 nation is deeply committed to safeguarding academic freedom tence by the courts on f the 1940 Statement; right protected by the U.S. 589 (1967), “Our , which is of transcendent value to all of us and of the First Amendment, which does not tolerate laws that cast appall of orthodoxy over the classroom.” The omments is made. 1. ersity Professors have ecial responsibilities. sponsibilities in major policy statements, providing guidance to the professor in his utterances as a citizen, in the exercise of his from his institution or is the Statement on in 1987, was published in Academe: Bulletin of the AAUP 73 [July-August 1987]:49.) 2. ersial.” Controversy is at the heart of The passage serves to sistently intruding material which has no relation to his subject. 3. principle of academic re. 4. f the 1940 Statement ed the admonitions of ural utterances of the tion, it may proceed to of the section on Academic Tenure. In pressing such charges the administration should remember that teachers are citizens and should be accorded the freedom of citizens. In such cases the administration must assume full responsibility and the American Association of University Professors and the Association of American Colleges are free to make an investigation. Paragraph (c) of the 1940 Statement should also be interpreted in keeping with the 1964 Committee A Statement on Extramural Utterances (AAUP Bulletin Sring,1965,p. 29) which states inter alia: “The controlling principle is that a faculty member’s expression of opinion as a citizen cannot constitute grounds for dismissal unless it clearly demonstrates the faculty member’s unfitness for his position. Extramural utterances rarely bear upon the faculty member’s fitness for his position. Moreover, a final decision should take into account the faculty member’s entire record as a teacher and scholar. not merely to the teachers concerned. That freedom is therefore a special concern numbers refer to the designated portion of the 1940 Statement on which interpretive c The Association of American Colleges and the American Association of Univ long recognized that membership in the academic profession carries with it sp Both Associations either separately or jointly have consistently affirmed these re responsibilities to the institution and students, and in his conduct when resigning when undertaking government-sponsored research. Of particular relevance Professional Ethics, adopted in 1966 as Association policy. ( A revision, adopted The intent of this statement is not to discourage what is “controv the free academic inquiry which the entire statement is designed to foster. underscore the need for the teacher to avoid per Most church related institutions no longer need or desire the departure from the freedom implied in the 1940 Statement, and we do not now endorse such a departu This paragraph is the subject of an Interpretation adopted by the sponsors o immediately following its endorsement which reads as follows: If the administration of a college or university feels that a teacher has not observ Paragraph (c) of the section on Academic Freedom and believes that the extram teacher have been such as to raise grave doubts concerning his fitness for his posi file charges under Paragraph (a) (4) 4 Paragraph V of the Statement on Professional Ethics also deals with the nature of the “special obligations” of the t er citizens. Professors their subject, to their a private persons they creating the impression that he speaks or acts for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, the professors have a particular standing of academic y apply not only to the full- part-time and teaching assis , who exercise teaching responsibilities. . clude any person who estion, see the “Report ulletin 52 [1966]: 280- 6. mber’s prior service at other institutions, the Statement furthers the general policy of full understanding by the professor of the ofessor’s tenure rights matter. Nonetheless, written understanding and advantageous to both the individual and the institution. ( For a more detailed statement on this question, see “On Crediting 974]: 274-75.) 7. The effect of this subparagraph is that a decision on tenure, favorable or unfavorable, must be made at ecision is negative, the mes a terminal one. If the decision is affirmative, the provisions in the 1940 Statement with respect to the terminations of services of teachers or investigators after the decision is made. The gener is paragraph is developed with greater specificity in the Standards for Notice of Nonreappointment, endorsed by the Fiftieth Annual Meeting of the American Association of University Professor (1964). These standards are: Notice of nonreappointment, or of intention not to recommend reappointment to the governing board, should be given in writing in accordance with the following standards: 1. Not later than March 1 of the first academic year of service, if the appointment expires at the end of that year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination. eacher. The paragraph reads as follows: As members of their community, professors have the rights and obligations of oth measure the urgency of other obligations in the light of their responsibilities to students, to their profession, and to their institution. When they speak or act as avoid obligation to promote conditions of free inquiry and to further public under freedom. Both the protection of academic freedom and the requirements of academic responsibilit time probationary as well as to the tenured teacher, but also to all others, such as tants 5 The concept of “rank of full-time instructor or a higher rank” is intended to in teaches a full-time load regardless of his specific title. (For a discussion of this qu of the Special Committee on Academic Personnel Ineligible for Tenure,” AAUP B 282.) In calling for an agreement “in writing” on the amount of credit for a faculty me terms and conditions of his appointment. It does not necessarily follow that a pr have been violated because of the absence of a written agreement on this especially because of the variation in permissible institutional practices, a concerning these matters at the time of appointment is particularly appropriate Prior Service Elsewhere as Part of the Probationary Period,” AAUP Bulletin 64 [1 least twelve months prior to the completion of the probationary period. If the d appointment for the following year beco expiration of a probationary period should apply from the date when the favorable al principle of notice contained in th 5 2. Not later than December 15 of the second academic year of service, if the appointment expires at the end of that year; or, if an initial two-year appointment terminates during an academic year, at or more years in the t on recruitment and Resi es and the American Ass 8. ular procedure for the periodic evaluation and assessment of the teacher’s academic performance during his probationary status. Provision should be made for regularized procedures for the consideration of complaints by the sted procedure to serve cademic Freedom and d under this paragraph l Proceedings, jointly ociation of American Colleges in 1958. This interpretive document deals with the issue of suspension, about which the 1940 ings involving him is uance. Unless legal not followed by either reinstatement of the opportunity for a hearing is in effect a summary dismissal in violation of academic due process. The concept of “moral turpitude” identifies the exceptional case in which the professor may be denied a year’s teaching or pay in whole or in part. The statement applies to that kind of behavior which goes beyond simply warranting discharge and is so utterly blameworthy as to make it inappropriate to require the offering of a year’s teaching or pay. The standard is not that the moral sensibilities of persons in the particular community have been affronted. The standard is behavior that would evoke condemnations by the academic community generally. least six months in advance of its termination. 3. At least twelve months before the expiration of an appointment after two institution. Other obligations, both of institutions and individuals, are described in the Statemen gnation of Faculty Members, as endorsed by the Association of American Colleg ociation of University Professors in 1961. The freedom of probationary teachers is enhanced by the establishment of a reg probationary teachers that their academic freedom has been violated. One sugge these purposes is contained in the Recommended Institutional Regulations on A Tenure, prepared by the American Association of University Professors. 9. A further specification of the academic due process to which the teacher in entitle is contained in the Statement of Procedural Standards in Faculty Dismissa approved by the American Association of University Professors and the Ass Statement is silent. The 1958 Statement provides: :Suspension of the faculty member during the proceed justified only if immediate harm to himself or others is threatened by his contin considerations forbid, any such suspension should be with pay.” A suspension which is 6