University Handbook, Appendix C:
Academic Freedom and Tenure
Academic Freedom and Tenure
(1940 Statement of Principles)
In 1940, following a series of joint conferences begun in 1934,
representatives of the American Association of University Professors and
of the Association of American Colleges agreed upon a restatement of
principles set forth in the 1925 Conference Statement of Academic
Freedom and Tenure. This restatement, known to the profession as the
1940 Statement of Principles on Academic Freedom and Tenure, has been
endorsed by most educational and professional academic organizations,
such as the American Council on Education and the National Association
of State Universities and Land-Grant Colleges, in which Kansas State
University holds membership.
The purpose of this statement is to promote public understanding and
support of academic freedom and tenure and agreement upon procedures to
assure them in colleges and universities. Institutions 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. 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.
Tenure is a means to certain ends, specifically: (1) freedom of teaching
and research and of extramural activities, and (2) a sufficient degree
of economic security to make the profession attractive to men and women
of ability. Freedom and economic security, hence tenure, are
indispensable to the success of an institution in fulfilling its
obligations to its students and to society.
Academic Freedom
- Teachers are entitled to full freedom in research and in the publication
of the results, subject to the adequate performance of their other
academic duties; but research for pecuniary return should be based upon
an understanding with the authorities of the institution.
- Teachers are entitled to freedom in the classroom in discussing their
subjects, but they should be careful not to introduce into teaching
controversial matter which has no relation to the subject. Limitations
of academic freedom because of religious or other aims of the
institution should be clearly stated in writing at the time of the
appointment.
- College or university teachers are citizens, members of a learned
profession, and officers of an educational institution. When they speak
or write as citizens, they should be free from institutional censorship
or discipline, but their special position in the community imposes
special obligations. As persons of learning and as educational
officers, they should remember that the public may judge their
profession and their institution by their utterances. Hence they
should at all times be accurate, should exercise appropriate
restraint, should show respect for the opinions of others, and
should make every effort to indicate that they are not
institutional spokespeople.
Academic Tenure
After the expiration of a probationary period, teachers or investigators
should have permanent or continuous tenure, and their service should be
terminated only for adequate cause, or under extraordinary
circumstances because of financial exigencies. In the interpretation of
this principle it is understood that the following represents acceptable
academic practice:
- 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.
- Beginning with appointment to the rank of full-time instructor or a
higher rank, the probationary period should not exceed seven years,
including within this period full-time service in all institutions of
higher education; but subject to the proviso that when, after a term
of probationary service 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. 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 service after the expiration of
that period.
- During the probationary period a teacher should have the academic
freedom that all other members of the faculty have.
- 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 against him/her and
should have the opportunity to be heard in his/her own defense by all
bodies that pass judgment upon the case. He/she should be permitted to
have an advisor of his/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 his/her 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.
- Termination of a continuous appointment because of financial exigency
should be demonstrably bona fide.
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 Principles on Academic Freedom and Tenure w ere agreed upon:
- That its operation should not be retroactive.
- That all tenure claims of teachers appointed prior to the endorsement
should be determined in accordance with the principles set forth in
the 1925 Conference Statement on Academic Freedom and Tenure.
- If the administration of a college or university feels that a teacher
has not observed the admonitions of Paragraph (c) of the section on
Academic Freedom and believes that the extramural utterances of the
teacher have been such as to raise grave doubts concerning his/her
fitness for position, it may proceed to file charges under Paragraph
a(4). 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.
A. Conflict Situations
Kansas State University expects its faculty members to maintain the
scholarly character of their work and encourages them to participate in
activities supported by industry, government, or other off-campus
auspices to the degree that such activities contribute to the breadth of
their expertise and create opportunities for the advancement of the
University's programs. Such work may include consulting, participation
in a business, or private entrepreneurial effort related to their
faculty responsibilities. It is appropriate to assure that all parties
understand and avoid, as far as is practicable, possible conflicts of
interest or the appearance of such conflicts so that the public interest
and the rights of the individual may be protected.
Conflicts of interest are not necessarily unwarranted, unethical, or
illegal; nor are they always unavoidable. Sometimes, it is the failure
to disclose conflicts of interest or potential conflicts that is
unethical and possibly illegal. In order for University personnel to
protect the public trust accorded them, they are obligated to avoid
conflicts of interest where possible. The existence of a conflict of
interest is not always sufficient to rule out a given activity, and
distinctions must be made between inescapable minor cases of conflict
and those that are substantial and avoidable. The University will be in
the best position to protect its own interests and those of faculty
members and students if there is (1) open communication about outside act
ivities that might affect an individual's fulfillment of University
responsibilities and (2) genuine understanding of the obligations of
those holding University positions. If guidelines and principles are
applied to limit any activity which presents a conflict of interest it
must have been determined that the potential harm to the University's
interests outweighs the putative benefits of the activity. That
determination must take account of the need to maintain the integrity of
the University and the confidence of the public in the conduct of its
affairs.
- Definition. A conflict of interest exists when faculty members'
non-University interests can be influenced through the use of their
University positions or advanced at the expense of University
responsibilities, programs, or resources.
- Favoring of outside interests. When University staff members
(administrator, faculty member, professional staff member, or
employee) have a significant financial interest in, or a consulting
arrangement with, a private business concern, it is important to avoid
actual or apparent conflicts of interests between their University
obligations and their outside interests and other obligations.
Situations in or from which conflicts of interest may arise are:
- Undertaking or orientation of the staff member's University work to
serve the needs of a private firm without disclosure of such
undertaking or orientation to the University and to any agency
sponsoring the work.
- Purchase of major equipment, instruments, materials, or other
items for University work from a private firm in which the
staff member has an interest.
- Transmission to a private firm or other use for personal gain of
University work products, results, materials, records, or
information that are not made generally available. (This would
not necessarily preclude appropriate licensing arrangements
for inventions, or consulting on the basis of sponsored
research results where there is significant additional work by
the staff member independent of his or her sponsored research.)
- Use for personal gain or other unauthorized use of privileged
information acquired in connection with the staff member's
University activities. (The term privileged information
includes, but is not limited to, medical, personnel, or
security records of individuals; anticipated material
requirements or price actions; possible new sites for
government operations; and knowledge of forthcoming programs
or of selection of contractors or subcontractors in advance of
official announcements.)
- Negotiation or influence upon the negotiation of contracts
relating to the staff member's work between the University and
private organizations with which he has consulting or other
significant relationships.
- Acceptance of gratuities or special favors from private
organizations with which the University does or may conduct
business in connection with a sponsored project, or extension
of gratuities or special favors to employees of the sponsoring
agency, under circumstances which might reasonably be
interpreted as an attempt to influence the recipients in the
conduct of their duties.
- Offering of sponsored support to the University or employment
to a research student (including post-doctoral appointees) by
an outside organization in which a faculty member has a
substantial interest.
- Allowing proprietary interests to encroach upon the academic
freedom of students and faculty members in sponsored work,
including their right to publish all research results for the
benefit of society.
- Authorizing payments to family members or other relatives as
employees, consultants, or vendors in connection with University
projects.
- Distribution of effort. There are competing demands on the energies
of faculty members (for example, research, teaching, committee work,
outside consulting). The way in which they divide their effort among
these various functions does not raise ethical questions unless the
agency supporting their work is misled in its understanding of the
amount of intellectual effort they are actually devoting to the
research in question. A system of precise time accounting is
inconsistent with the inherent character of the work of faculty
members, since the various functions they perform are closely
interrelated and do not conform to any meaningful division of a
standard work week. On the other hand, if an agreement contemplates
that staff members will devote certain fractions of their effort to
the sponsored work, or they agree to assume
responsibility in relation to such work, a demonstrable relationship
between the indicated effort or responsibility and the actual extent of
involvement is to be expected. The University, therefore,
should--through joint consultation of administration and
faculty--develop procedures to assure that proposals are
responsibly made and complied with.
- Consulting for government agencies or their contractors. When staff
members engaged in government-sponsored research also serve as
consultants to a federal agency, their conduct is subject to the
provisions of the Conflict of Interest Statutes (18 U.S.C. 202-209 as
amended) and the president's memorandum of May 2, 1963, Preventing
Conflicts of Interest on the Part of Special Government Employees.
When they consult for one or more government contractors, or
prospective contractors, in the same technical field as their research
projects, care must be taken to avoid giving advice that may be of
questionable objectivity because of its possible bearing on other
interests. In undertaking and performing consulting services, they
should make full disclosure of such interests to the University and to
the contractor insofar as the services may appear to relate to the
work at the University or the contractor. Conflict of interest
problems could arise, for example, in the participation of staff
members of the University in an evaluation for the government agency
or its contractor of some technical aspect of the work of another
organization with which they have a consulting or employment
relationship or a significant financial interest, or in an evaluation
of a competitor to such other organization.
B. University Responsibility
The University should take steps to assure that:
- These policies are made known to University administration and staff
members so they may be aware of possible conflicts of interest or
other problems that may develop in the foregoing types of situations,
and
- The appropriate organizational and administrative actions are taken to
avoid such problems, including:
- Accounting procedures which assure that a sponsor's funds are
expended for the purposes for which they have been provided,
and that all future services which are required in return for
these funds are supplied.
- Procedures that enable it to be aware of the outside
professional work of staff members' participation in
University projects, if such outside work relates in any
way to the projects.
As in the case of consulting (D40),
those who propose to engage in
other outside work must obtain prior approval of their
department head and dean. Such outside activities, as well as
other possibilities for conflict of interest, are to be
reported in writing to department head and dean and to the
Provost's Office. Deans and other unit executives are to
report similarly to their supervisors.
- The formulation of standards to guide the individual
University staff members in governing their conduct in
relation to outside interests that might raise questions of
conflicts of interest.
Generally, faculty members need to guard against diluting their
commitment to University responsibilities, and they should be
careful not to use the privileges of their positions, either
within or outside the University, to advance personal interest
improperly, or to use influence or information improperly.
- The provision within the University of an informed source of
advice and guidance to its staff members for advance
consultation on questions they wish to raise concerning the
problems that may or do develop as a result of their outside
financial or consulting interests, as they relate to their
participation in extramurally sponsored University work.
Thus, unusual or complex cases may be referred to the provost,
who may stipulate conditions for the protection of all
parties in keeping with applicable principles and statutes.
The University may wish to discuss such problems with the
contracting officer or other appropriate agency official in
those cases that appear to raise questions regarding conflicts
of interest.
The above process of disclosure and consultation is the obligation
assumed by the University when it accepts extramural funds for sponsored
projects and by faculty members when they undertake outside activities
related to their University work. The process must, of course, be
carried out in a manner that does not infringe on the legitimate
freedoms and flexibility of action of the University and its staff
members that have traditionally characterized a university. It is
desirable that standards and procedures of the kind discussed be
formulated and administered by members of the University community
themselves, through their joint initiative and responsibility, for it is
they who are the best judges of the conditions that can most effectively
stimulate the research for knowledge and preserve the requirements of
academic freedom. Experience indicates that such standards and
procedures should be developed and specified by joint
administration-faculty action.
The word teacher as used in this document is understood to
include the investigator who is attached to an academic institution
without teaching duties.
If indicated, KSA 46-215 et seq. should be referred to in detail.
These sections pertain to state employees, prohibiting them from making or
participating in the making of contracts with any person or business by which
they are employed or in whose business they or their spouses have a substantial
interest. If such an interest exists, state employees are barred from participation
in negotiation or making contracts, setting bid specifications, selecting vendors,
participating in any purchases from the business, or supplying to the business
any results of their University work that are not generally available.