ED5570: Week 6 Discussion 2: Faculty Academic Freedom and Tenure

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1940 Statement of Principles on Academic Freedom and Tenure with 1970 Interpretive Comments

In 1915 the Committee on Academic Freedom and Academic Tenure of the American Association of University Professors formulated a statement of prin- ciples on academic freedom and academic tenure known as the 1915 Declaration of Principles, which was offi cially endorsed by the Association at its Second An- nual Meeting held in Washington, D.C., December 31, 1915, and January 1, 1916.

In 1925 the American Council on Education called a conference of represen- tatives of a number of its constituent members, among them the American Association of University Professors, for the purpose of formulating a shorter statement of principles on academic freedom and tenure. The statement formu- lated at this conference, known as the 1925 Conference Statement on Academic Freedom and Tenure, was endorsed by the Association of American Colleges (now the Association of American Colleges and Universities) in 1925 and by the American Association of University Professors in 1926.

In 1940, following a series of joint conferences begun in 1934, representa- tives of the American Association of University Professors and of the Associa- tion of American Colleges agreed on a restatement of the principles that had been set forth in the 1925 Conference Statement on Academic Freedom and Tenure. This restatement is known to the profession as the 1940 Statement of Principles on Academic Freedom and Tenure.

Following extensive discussions on the 1940 Statement of Principles on Academic Freedom and Tenure with leading educational associations and with individual faculty members and administrators, a joint committee of the AAUP and the Association of American Colleges met during 1969 to reevaluate this key policy statement. On the basis of the comments received, and the discus- sions that ensued, the joint committee felt the preferable approach was to formu- late interpretations of the 1940 Statement from the experience gained in imple- menting and applying it for over thirty years and of adapting it to current needs.

The committee submitted to the two associations for their consideration Interpretive Comments that are included below as footnotes to the 1940 State- ment.1 These interpretations were adopted by the Council of the American As- sociation of University Professors in April 1970 and endorsed by the Fifty- Sixth Annual Meeting as Association policy.

1. The Introduction to the Interpretive Comments notes: 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 refi nement. This has evolved through a variety of pro cesses, including customary ac cep tance, understandings mutually arrived at between institutions and professors or their representa- tives, 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

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The purpose of this statement is to promote public understanding and support of academic freedom and tenure and agreement upon procedures to ensure them in colleges and universities. Institu- tions of higher education are conducted for the common good and not to further the interest of either the individual teacher or the institution as a whole.2 The common good depends upon the free search for truth and its free exposition.

Academic freedom is essential to these purposes and applies to both teaching and research. Freedom in research is fundamental to the advancement of truth. Academic freedom in its teaching aspect is fundamental for the protection of the rights of the teacher in teaching and of the student to freedom in learning. It carries with it duties correlative with rights.3

Tenure is a means to certain ends; specifi cally: (1) freedom of teaching and research and of extramural activities, and (2) a suffi cient degree of economic security to make the profession

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 refi nements. 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.

Also, there have been relevant developments in the law itself refl ecting a growing insistence by the courts on due pro cess within the academic community which parallels the essential concepts of the 1940 “Statement”; particularly relevant is the identifi cation by the Supreme Court of academic freedom as a right protected by the First Amendment. As the Supreme Court said in Keyishian v. Board of Regents, 385 US 589 (1967), “Our Nation is deeply committed to safeguarding academic freedom, which is of transcendent value to all of us and not merely to the teachers concerned. That freedom is therefore a special concern of the First Amendment, which does not tolerate laws that cast a pall of orthodoxy over the classroom.”

2. The word “teacher” as used in this document is understood to include the investigator who is attached to an academic institution without teaching duties.

3. First 1970 comment: The Association of American Colleges and the American Association of University Professors have long recognized that membership in the academic profession carries with it special responsibilities. Both associations either separately or jointly have consistently affi rmed these responsibilities in major policy statements, providing guidance to professors in their utterances as citizens, in the exercise of their responsibilities to the institution and to students, and in their conduct when resigning from their institution or when undertaking government- sponsored research. Of par tic u lar relevance is the “Statement on Professional Ethics” adopted in 1966 as Association policy (AAUP, Policy Documents and Reports, 11th ed. [Balti- more: Johns Hopkins University Press, 2015], 145– 46).

attractive to men and women of ability. Freedom and economic security, hence, tenure, are indispens- able to the success of an institution in fulfi lling its obligations to its students and to society.

Academic Freedom 1. Teachers are entitled to full freedom in

research and in the publication of the results, subject to the adequate per for mance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

2. Teachers are entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to their subject.4 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.5

3. College and university teachers are citizens, members of a learned profession, and offi cers of an educational institution. When they speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As scholars and educational offi cers, they should remember that the public may judge their profession and their institu- tion by their utterances. Hence they should at all times be accurate, should exercise appropri- ate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution.6

4. Second 1970 comment: The intent of this statement is not to discourage what is “controversial.” Controversy is at the heart of the free academic inquiry which the entire statement is designed to foster. The passage serves to underscore the need for teachers to avoid per sis tent ly intruding material which has no relation to their subject.

5. Third 1970 comment: Most church- related institutions no longer need or desire the departure from the principle of academic freedom implied in the 1940 “Statement,” and we do not now endorse such a departure.

6. Fourth 1970 comment: This paragraph is the subject of an interpretation adopted by the sponsors of the 1940 “Statement” immediately following its endorsement:

If the administration of a college or university feels that a

teacher has not observed the admonitions of paragraph 3 of the

section on Academic Freedom and believes that the extramural

utterances of the teacher have been such as to raise grave

doubts concerning the teacher’s fi tness for his or her position,

it may proceed to fi le charges under paragraph 4 of the section

on Academic Tenure. In pressing such charges, the administra-

tion should remember that teachers are citizens and should be

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probationary period should not exceed seven years, including within this period full- time ser vice in all institutions of higher education; but subject to the proviso that when, after a term of probationary ser vice of more than three years in one or more institutions, a teacher is called to another institution, it may be agreed in writing that the new appointment is for a probationary period of not more than four years, even though thereby the person’s total probationary period in the academic profession is extended beyond the normal maximum of seven years.8 Notice should be given at least one year prior to the expiration of the probationary period if the teacher is not to be continued in ser vice after the expiration of that period.9

Personnel Ineligible for Tenure,” AAUP Bulletin 52 (September 1966): 280– 82.]

8. Sixth 1970 comment: In calling for an agreement “in writing” on the amount of credit given for a faculty member’s prior ser vice at other institutions, the “Statement” furthers the general policy of full understanding by the professor of the terms and conditions of the appointment. It does not necessarily follow that a professor’s tenure rights have been violated because of the absence of a written agreement on this matter. Nonetheless, especially because of the variation in permissible institutional practices, a written understanding concerning these matters at the time of appointment is particularly appropriate and advantageous to both the individual and the institution. [For a more detailed statement on this question, see “On Crediting Prior Ser vice Elsewhere as Part of the Probationary Period,” Policy Documents and Reports, 167– 68.]

9. Seventh 1970 comment: The effect of this subpara- graph is that a decision on tenure, favorable or unfavorable, must be made at least twelve months prior to the completion of the probationary period. If the decision is negative, the appointment for the following year becomes a terminal one. If the decision is affi rmative, the provisions in the 1940 “Statement” with respect to the termination of ser vice of teachers or investigators after the expiration of a probation- ary period should apply from the date when the favorable decision is made.

The general principle of notice contained in this paragraph is developed with greater specifi city in the “Standards for Notice of Nonreappointment,” endorsed by the Fiftieth Annual Meeting of the American Association of University Professors (1964) (Policy Documents and Reports, 99). 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 fi rst academic year of

ser vice, 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.

Academic Tenure After the expiration of a probationary period, teachers or investigators should have permanent or continuous tenure, and their ser vice should be terminated only for adequate cause, except in the case of retirement for age, or under extraordinary circumstances because of fi nancial exigencies.

In the interpretation of this principle it is understood that the following represents accept- able academic practice:

1. The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and teacher before the appointment is consummated.

2. Beginning with appointment to the rank of full- time instructor or a higher rank,7 the

accorded the freedom of citizens. In such cases the administra-

tion must assume full responsibility, and the American

Association of University Professors and the Association of

American Colleges are free to make an investigation.

Paragraph 3 of the section on Academic Freedom in the 1940 “Statement” should also be interpreted in keeping with the 1964 “Committee A Statement on Extramural Utterances,” Policy Documents and Reports, 31, 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 unfi tness for his or her position. Extramural utterances rarely bear upon the faculty member’s fi tness for the position. Moreover, a fi nal decision should take into account the faculty member’s entire record as a teacher and scholar.”

Paragraph 5 of the “Statement on Professional Ethics,” Policy Documents and Reports, 146, also addresses the nature of the “special obligations” of the teacher:

As members of their community, professors have the rights

and obligations of other citizens. Professors mea sure the

urgency of these obligations in the light of their responsibili-

ties to their subject, to their students, to their profession, and

to their institution. When they speak or act as private persons,

they avoid creating the impression of speaking or acting for

their college or university. As citizens engaged in a profession

that depends upon freedom for its health and integrity,

professors have a par tic u lar obligation to promote conditions

of free inquiry and to further public understanding of

academic freedom.

Both the protection of academic freedom and the requirements of academic responsibility apply not only to the full- time probationary and the tenured teacher, but also to all others, such as part- time faculty and teaching assistants, who exercise teaching responsibilities.

7. Fifth 1970 comment: The concept of “rank of full- time instructor or a higher rank” is intended to include any person who teaches a full- time load regardless of the teacher’s specifi c title. [For a discussion of this question, see the “Report of the Special Committee on Academic

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5. Termination of a continuous appointment because of fi nancial exigency should be demonstrably bona fi de.

Endorsers Note: Groups that changed names subsequent to endorsing the statement are listed under their current names.

Association of American Colleges and Universities ...................................................1941

American Association of University Professors ......................................................1941

American Library Association (adapted for librarians) ......................................................1946

Association of American Law Schools .............1946 American Po liti cal Science Association ...........1947 American Association for Higher

Education and Accreditation ........................1950 American Association of Colleges for

Teacher Education .........................................1950 Eastern Psychological Association ...................1950 Southern Society for Philosophy and

Psychology ....................................................1953 American Psychological Association ...............1961 American Historical Association......................1961 Modern Language Association .........................1962 American Economic Association ......................1962 Agricultural and Applied Economic

Association ....................................................1962 Midwest So cio log i cal Society ...........................1963 Or ga ni za tion of American Historians .............1963 Society for Classical Studies .............................1963 American Council of Learned Societies ...........1963 American So cio log i cal Association ..................1963

American Association of University Professors and the Association of American Colleges in 1958. This interpretive document deals with the issue of suspension, about which the 1940 “Statement” is silent.

The “Statement on Procedural Standards in Faculty Dismissal Proceedings” provides: “Suspension of the faculty member during the proceedings is justifi ed only if immediate harm to the faculty member or others is threatened by the faculty member’s continuance. Unless legal considerations forbid, any such suspension should be with pay.” A suspension which is not followed by either reinstatement or the opportunity for a hearing is in effect a summary dismissal in violation of academic due pro cess.

The concept of “moral turpitude” identifi es 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 par tic u lar community have been affronted. The standard is behavior that would evoke condemnation by the academic community generally.

3. During the probationary period a teacher should have the academic freedom that all other members of the faculty have.10

4. Termination for cause of a continuous appointment, or the dismissal for cause of a teacher previous to the expiration of a term appointment, should, if possible, be considered by both a faculty committee and the governing board of the institution. In all cases where the facts are in dispute, the accused teacher should be informed before the hearing in writing of the charges and should have the opportunity to be heard in his or her own defense by all bodies that pass judgment upon the case. The teacher should be permitted to be accompanied by an advisor of his or her 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 the teacher’s own or from other institutions. Teachers on continuous appoint- ment who are dismissed for reasons not in- volving moral turpitude should receive their salaries for at least a year from the date of notifi cation of dismissal whether or not they are continued in their duties at the institution.11

2. Not later than December 15 of the second academic year of

ser vice, if the appointment expires at the end of that year;

or, if an initial two- year appointment terminates during

an academic year, at least six months in advance of its

termination.

3. At least twelve months before the expiration of an

appointment after two or more years in the institution.

Other obligations, both of institutions and of individu- als, are described in the “Statement on Recruitment and Resignation of Faculty Members,” Policy Documents and Reports, 153– 54, as endorsed by the Association of American Colleges and the American Association of University Professors in 1961.

10. Eighth 1970 comment: The freedom of probationary teachers is enhanced by the establishment of a regular procedure for the periodic evaluation and assessment of the teacher’s academic per for mance during probationary status. Provision should be made for regularized procedures for the consideration of complaints by probationary teachers that their academic freedom has been violated. One suggested procedure to serve these purposes is contained in the “Recommended Institutional Regulations on Academic Freedom and Tenure,” Policy Documents and Reports, 79– 90, prepared by the American Association of University Professors.

11. Ninth 1970 comment: A further specifi cation of the academic due pro cess to which the teacher is entitled under this paragraph is contained in the “Statement on Procedural Standards in Faculty Dismissal Proceedings,” Policy Documents and Reports, 91– 93, jointly approved by the

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American Speech- Language- Hearing Association ....................................................1968

Association of Social and Behavioral Scientists .......................................................1968

College En glish Association ..............................1968 National College Physical Education

Association for Men .....................................1969 American Real Estate and Urban Economics

Association ....................................................1969 Council for Philosophical Studies ....................1969 History of Education Society ............................1969 American Musicological Society ......................1969 American Association of Teachers of

Spanish and Portuguese ...............................1969 Texas Community College Teachers

Association ....................................................1970 College Art Association of America .................1970 Society of Professors of Education ...................1970 American Anthropological Association ...........1970 Association of Theological Schools ..................1970 Association of Schools of Journalism and

Mass Communication ..................................1971 Academy of Legal Studies in Business .............1971 Americans for the Arts .....................................1972 New York State Mathematics Association

of Two- Year Colleges ....................................1972 College Language Association ..........................1973 Pennsylvania Historical Association ................1973 American Philosophical Association ................ 1974 American Classical League ............................... 1974 American Comparative Literature

Association .................................................... 1974 Rocky Mountain Modern Language

Association .................................................... 1974 Society of Architectural Historians .................1975 American Statistical Association......................1975 American Folklore Society ...............................1975 Association for Asian Studies ...........................1975 Linguistic Society of America ..........................1975 African Studies Association .............................1975 American Institute of Biological Sciences .......1975 North American Conference on British

Studies ...........................................................1975 Sixteenth- Century Society and Conference ...1975 Texas Association of College Teachers .............1976 Association for Jewish Studies .........................1976 Association for Spanish and Portuguese

Historical Studies .........................................1976 Western States Communication Association ..... 1976 Texas Association of Colleges for Teacher

Education.......................................................1977 Metaphysical Society of America .....................1977 American Chemical Society .............................1977 Texas Library Association .................................1977 American Society for Legal History ................1977 Iowa Higher Education Association .................1977 American Physical Therapy Association .........1979

Southern Historical Association ......................1963 American Studies Association ..........................1963 Association of American Geographers ............1963 Southern Economic Association .......................1963 Classical Association of the Middle West

and South ......................................................1964 Southwestern Social Science Association ........1964 Archaeological Institute of America ................1964 Southern Management Association .................1964 American Theatre Association

(now dissolved) .............................................1964 South Central Modern Language

Association ....................................................1964 Southwestern Philosophical Society ................1964 Council of In de pen dent Colleges ......................1965 Mathematical Association of America .............1965 Arizona- Nevada Academy of Science ..............1965 American Risk and Insurance Association ......1965 Academy of Management .................................1965 American Catholic Historical Association .......1966 American Catholic Philosophical

Association .................................................. 1966 Association for Education in Journalism

and Mass Communication ...........................1966 Western History Association ...........................1966 Mountain- Plains Philosophical Conference ....1966 Society of American Archivists .......................1966 Southeastern Psychological Association ..........1966 Southern States Communication

Association ....................................................1966 American Mathematical Society ......................1967 Association for Slavic, East Eu ro pe an,

and Eurasian Studies ....................................1967 College Theology Society .................................1967 Council on Social Work Education ...................1967 American Association of Colleges of

Pharmacy ......................................................1967 American Academy of Religion .......................1967 Association for the Sociology of Religion .......1967 American Society of Journalism School

Administrators (now merged with the Association of Schools of Journalism and Mass Communication) ..........................1967

John Dewey Society ..........................................1967 South Atlantic Modern Language

Association ....................................................1967 American Finance Association .........................1967 Association for Social Economics .....................1967 Phi Beta Kappa Society .....................................1968 Society of Christian Ethics ...............................1968 American Association of Teachers

of French .......................................................1968 Eastern Finance Association .............................1968 American Association for Chinese Studies .....1968 American Society of Plant Biologists ...............1968 University Film and Video Association ...........1968 American Dialect Society .................................1968

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Council of Teachers of Southeast Asian Languages ..........................................1994

American Association of Teachers of Arabic ...1994 American Association of Teachers of

Japa nese .........................................................1994 Academic Senate for California

Community Colleges ...................................1996 National Council for the Social Studies ...........1996 Council of Academic Programs in

Communication Sciences and Disorders ....1996 Association for Women in Mathematics .........1997 Philosophy of Time Society ..............................1998 World Communication Association .................1999 The Historical Society .......................................1999 Association for Theatre in Higher Education ..1999 National Association for Ethnic Studies ..........1999 Association of Ancient Historians ...................1999 American Culture Association .........................1999 American Conference for Irish Studies ...........1999 Society for Philosophy in the

Contemporary World ...................................1999 Eastern Communication Association ...............1999 Association for Canadian Studies

in the United States ......................................1999 American Association for the History of

Medicine....................................................... 2000 Missouri Association of Faculty Senates ........ 2000 Association for Symbolic Logic ....................... 2000 American Society of Criminology ...................2001 American Jewish Historical Society ................2001 New En gland Historical Association ...............2001 Society for the Scientifi c Study of Religion ....2001 Society for German- American Studies ...........2001 Society for Historians of the Gilded Age

and Progressive Era ......................................2001 Eastern So cio log i cal Society .............................2001 Chinese Historians in the United States ..........2001 Community College Humanities

Association ....................................................2002 Immigration and Ethnic History Society ........2002 Society for Early Modern Catholic Studies .....2002 Academic Senate of the California State

University .................................................... 2004 Agricultural History Society .......................... 2004 National Council for Accreditation

of Teacher Education ................................... 2005 American Council on the Teaching

of Foreign Languages .................................. 2005 Society for the Study of Social Biology .......... 2005 Society for the Study of Social Problems ....... 2005 Association of Black Sociologists ..................... 2005 Dictionary Society of North America ............ 2005 Society for Buddhist- Christian Studies .......... 2005 Society for Armenian Studies ......................... 2006 Society for the Advancement of

Scandinavian Study .................................... 2006

North Central So cio log i cal Association ...........1980 Dante Society of America .................................1980 Association for Communication

Administration .............................................1981 National Communication Association .............1981 American Association of Physics Teachers ......1982 Middle East Studies Association ......................1982 National Education Association ........................1985 American Institute of Chemists .......................1985 American Association of Teachers

of German .....................................................1985 American Association of Teachers of Italian ...1985 American Association for Applied

Linguistics .....................................................1986 American Association for Cancer Education ...1986 American Society of Church History ..............1986 Oral History Association ..................................1987 Society for French Historical Studies ..............1987 History of Science Society ................................1987 American Association of Pharmaceutical

Scientists .......................................................1988 American Association for Clinical

Chemistry .....................................................1988 Council for Chemical Research ........................1988 Association for the Study of Higher

Education.......................................................1988 American Psychological Association ...............1989 Association for Psychological Science ..............1989 University and College Labor Education

Association ....................................................1989 Society for Neuroscience ..................................1989 Re nais sance Society of America .......................1989 Society of Biblical Literature ............................1989 National Science Teachers Association ............1989 Medieval Academy of America ........................1990 American Society of Agronomy ......................1990 Crop Science Society of America .....................1990 Soil Science Society of America .......................1990 International Society of Protistologists ...........1990 Society for Ethnomusicology ...........................1990 American Association of Physicists

in Medicine ...................................................1990 Animal Behavior Society ..................................1990 Illinois Community College Faculty

Association ....................................................1990 American Society for Theatre Research ..........1990 National Council of Teachers of En glish ..........1991 Latin American Studies Association ................1992 Society for Cinema and Media Studies............1992 American Society for Eighteenth- Century

Studies ...........................................................1992 Council of Colleges of Arts and Sciences .........1992 American Society for Aesthetics ......................1992 Association for the Advancement

of Baltic Studies ............................................1994 American Council of Teachers of Rus sian .......1994

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Chinese Language Teachers Association .........2014 Coordinating Council for Women

in History ......................................................2014 Ecological Society of America ..........................2014 Institute for American Religious and

Philosophical Thought .................................2014 Italian American Studies Association ..............2014 Midwestern Psychological Association ............2014 Modern Greek Studies Association ..................2014 National Association of Professors

of Hebrew ......................................................2014 National Council of Less Commonly

Taught Languages ........................................2014 Population Association of America ..................2014 Society for Italian Historical Studies ...............2014 Society for Psychophysiological Research .......2014 Society for Romanian Studies ..........................2014 Society for Textual Scholarship........................2014 Society for the History of Children and

Youth .............................................................2014 Society for the Psychological Study

of Social Issues ..............................................2014 Society for the Study of the Multi- Ethnic

Literature of the United States ....................2014 Society of Civil War Historians .......................2014 Society of Mathematical Psychology ...............2014 Sociologists for Women in Society ..................2014 Urban History Association ...............................2014 World History Association ...............................2014 American Educational Research

Association ....................................................2014 Labor and Working-Class History

Association ....................................................2014 Paleontological Society .....................................2014

American Physiological Society ...................... 2006 National Women’s Studies Association .......... 2006 National Co ali tion for History ........................ 2006 Society for Military History ........................... 2006 Society for Industrial and Applied

Mathematics ................................................ 2006 Association for Research on Ethnicity and

Nationalism in the Americas ..................... 2006 Society of Dance History Scholars .................. 2006 Association of Literary Scholars, Critics,

and Writers .................................................. 2006 National Council on Public History ................ 2006 College Forum of the National Council of

Teachers of En glish...................................... 2006 Society for Music Theory ................................ 2006 Society for Historians of American

Foreign Relations ......................................... 2006 Law and Society Association ........................... 2006 Society for Applied Anthropology .................. 2006 American Society of Plant Taxonomists ......... 2006 Society for the History of Technology ........... 2006 German Studies Association............................ 2006 Association of College and Research

Libraries ........................................................2007 Czechoslovak Studies Association ....................2007 American Educational Studies Association .....2007 Southeastern Women’s Studies Association .. 2009 American Academy for Jewish Research .........2014 American Association for Ukrainian

Studies ...........................................................2014 American Association of Italian Studies .........2014 American Theatre and Drama Society ............2014 Central Eu ro pe an History Society ...................2014 Central States Communication Association ....2014