|
|
IV. FACULTY RIGHTS, PRIVILEGES, AND RESPONSIBILITIES
Faculty members enjoy a great measure of professional autonomy. Collectively, they have a primary role in deciding who will teach, what will be taught, and what students will be expected to learn; and they play an important role in institutional governance. Individually, they have considerable freedom in pursuing their scholarly and educational work. Faculty members also have a number of rights and privileges, including the right to academic freedom and, for those who have earned it, the privilege of tenure. But faculty autonomy, rights, and privileges are combined with professional responsibilities; and this combination of rights and responsibilities shapes to an important degree the roles of faculty members.
Rice University makes decisions concerning the appointments and promotions of faculty members, the assignment of teaching and other academic duties, the support and sponsorship of scholarly research, and the granting or withholding of benefits and the imposition of burdens without regard to political, social, or other views not directly related to academic responsibilities.
"Academic Freedom ... 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 ... . The classroom is peculiarly the marketplace of ideas. The Nation's future depends upon leaders trained through wide exposure to that robust exchange of ideas which discovers truth out of a multitude of tongues, [rather] than through any kind of authoritative selection."
The law recognizes in academic freedom a principal means of safeguarding free expression throughout society. In Keyishian, Justice Brennan put academic freedom at the very core of First Amendment protections. Two other justices, Felix Frankfurter in Sweezy v. New Hampshire (1957) and Lewis Powell in Regents of the University of California v. Bakke (1978), saw fit to incorporate into their opinions a still more expansive definition of academic freedom, the "Statement of Remonstrance" addressed to the government of South Africa by senior scholars at the Open Universities of Cape Town and Witwaterstrand. "A university ceases to be true to its own nature," they wrote, "if it becomes the tool of Church or State or any sectional interest. A university is characterized by the spirit of free inquiry, its ideal being that of Socrates -- to follow the argument where it leads... . It is the business of a university to provide that atmosphere which is most conducive to speculation, experiment, and creation. It is an atmosphere in which there prevail the four essential freedoms of a university -- to determine for itself on academic grounds who may teach, what may be taught, how it shall be taught, and who may be admitted to study."
Quite apart from its value to society at large, freedom of expression is the enabling precondition of the academic enterprise, for where people hesitate to speak their mind, critical thinking has no purchase and the university cannot even begin to carry out its mission. That is why academic freedom and its material complement, tenure, have become defining features of university life. But because free expression can be deeply disturbing, none of us, whether inside or outside of the academy, is immune to the temptation to suppress offensive speech by force, censorship, or intimidation. It is accordingly incumbent on each individual associated with the university -- whether as student, teacher, administrator or trustee -- to exercise the vigilance and self-restraint without which freedom of expression cannot flourish. In the university, even more than in democratic society at large, the principle of free thought must prevail, not just "free thought for those who agree with us," as Justice Oliver Wendell Holmes Jr. warned in U. S. v. Schwimmer (1928), but "freedom for the thought we hate."
Liberating though its influence has been, academic freedom, like other freedoms in civil society, carries with it an implicit burden of self-restraint, not only in responding to the views of others, but also in expressing one's own views. The American Association of University Professors, founded in 1915 specifically to cultivate and defend the rights of academic freedom, has consistently acknowledged the need for restraint. The most authoritative statement of the rights of academic freedom as they exist today is the AAUP's "1940 Statement of Principles." It defines three facets of academic freedom (freedom of inquiry, teaching, and extramural utterance) and explicitly calls attention to the limits of each:
(a) 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.(b) 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. 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.
(c) College and 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 scholars and 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 speaking for the institution.
The ideal of freedom of expression can be a hard taskmaster, especially when we are deciding how to respond to expression that offends us. The burdens it imposes are most eloquently expressed in the Report of the Committee on Freedom of Expression at Yale (1975), a thoughtful examination of one university's mixed successes and failures during the campus disruptions of the 1960s and 70s, when controversial speakers were sometimes silenced by well-meaning protesters.
If freedom of expression is to serve its purpose, and thus the purpose of the university, it should seek to enhance understanding. Shock, hurt, and anger are not consequences to be weighed lightly. No member of the community with a decent respect for others should use, or encourage others to use, slurs and epithets intended to discredit another's race, ethnic group, religion, or sex. [But] it may sometimes be necessary in a university for civility and mutual respect to be superseded by the need to guarantee free expression. The values superseded are nevertheless important, and every member of the university community should consider them in exercising the fundamental right to free expression.... [Still,] if the university's overriding commitment to free expression is to be sustained, secondary social and ethical responsibilities must be left to the informal processes of suasion, example, and argument.
Tolerating offensive expression does not mean putting up with slander, defamation, "fighting words," or gratuitous personal insults. Neither does it mean abstention from judgment. What freedom of expression requires is not passivity in the face of expressions that offend, but a readiness to debate openly differences of opinion in a spirit at once candid and civil. The best response to offensive speech is neither silence nor censorship, but more speech, preferably cast in the form of arguments exposing the inadequacies of that which offends. Of all the institutions of society, the university is the one most deeply committed to the sublimation of conflict into reasoned argumentation. Far from being a scene of indiscriminate toleration where "freedom of expression" degenerates into "anything goes," Rice University, like other universities, is properly a forum for judgment and mutual criticism, in which all opinions are entitled to a respectful hearing, none is exempt from criticism, and only those that earn acceptance on their intellectual merits remain in circulation.
The foregoing section, "Academic Freedom and Free Expression," was approved unanimously by Faculty Council of Rice University on April 27, 1999. For more details about academic freedom, see:
Copies of the complete Report of the Committee on Freedom of Expression at Yale are available in the offices of the president, provost, and Faculty Council and in the Woodson Research Center in Fondren Library.
Academic tenure protects faculty members from being dismissed for teaching, researching, or inquiring into areas that might be politically or commercially controversial. The process of exploring and expanding the frontiers of knowledge often challenges the established order. Tenure is valuable not merely as a protection for individual faculty members but also as an assurance to society that the pursuit of truth and knowledge commands the faculty's first priority. The privileges of tenure include: (a) continued employment as an associate professor or professor until voluntary retirement or resignation, with the possible exception of dismissal for cause or termination due to the discontinuation or reduction of a program, (b) equitable compensation and benefits, (c) continued institutional support for teaching and scholarship, and (d) continued involvement in the academic mission of the university. (For further information on tenure, see Section VI.A.)
Because tenure is a privilege with the purpose of protecting academic freedom, it is offered after extremely careful deliberation and only to those faculty members who have demonstrated an unusual capacity for a lifetime of scholarship, teaching, and service. Tenure does not protect demonstrated incompetence in teaching and research, substantial and manifest neglect of duty, or serious misconduct. A tenured professor who faces such charges may be dismissed for cause through proceedings carefully crafted to assure academic due process, as described in Section IV.I. A tenured professor may also be dismissed because the university has in good faith decided to discontinue or reduce a program, department, or other segment of the university. The decision to discontinue or reduce a program will be implemented only after consideration of the educational, economic, and other aspects of the decision, and review by the Board of Trustees. An effort will be made to ease any dislocation experienced by the faculty members involved. See Policy 201-04 "Faculty Appointments, Promotions, and Tenure", section 8.c.
Tenure does not mean not having to be reviewed. Rice reviews all faculty members annually to consider salary adjustments. In addition, department chairs hold periodic performance reviews with all departmental faculty members to evaluate and encourage their professional growth according to a schedule and a procedure described in Policy 214-03 "Faculty Performance Reviews." See also Chapter VI. These routine professional reviews are distinct and separate from individualized disciplinary procedures that might lead to dismissal for cause.
Research , teaching, and service are all essential obligations of Rice faculty members. But because long-term success in teaching and continued effective service to Rice and other communities depend on intellectual vitality, scholarship is the foundation of academic life at Rice. Members of the Rice faculty are, therefore, expected to engage in research, reflection, and publication or in other creative efforts that expand knowledge or enrich cultural life. These demanding scholarly and creative undertakings are fundamental to the educational work of the university -- not just to graduate but especially to undergraduate education.
In the words of Edgar Odell Lovett, "the most distinguished teachers must take their part in undergraduate teaching, and their spirit should dominate it all." The faculty should, therefore, devote considerable time and thought to their teaching -- to keeping abreast of new scholarly work in their fields, to preparing carefully for their classes, and to being reasonably available to their students outside of class for advice, counseling, and instruction. They should also become familiar with academic regulations for students described in the General Announcements (especially " Faculty Grading Guidelines") and with the Honor System. At the end of each semester, they should encourage and make time for students to complete the teaching evaluation forms that are prepared by the Committee on Teaching. (Although faculty are not required to have their teaching evaluated, evaluations are used in annual reviews, in promotion and tenure decisions, and in periodic reviews of tenured faculty.)
In addition to their scholarly research and teaching, faculty members are expected to serve their departments, schools, and the university. They have a primary responsibility to: (a) determine the curriculum, subject matter, methods of instruction, and other academic standards and processes, (b) establish the requirements for earning degrees, and (c) evaluate the appointment, reappointment, promotion, and tenure of faculty members. In these capacities they are making collective recommendations to the administration and governing boards on academic standards and policy and on faculty status. The faculty are also encouraged to take part in college life as associates and masters (see Section III.F), to serve on departmental and university committees, to stand for election for Faculty Senate and University Council, to shoulder various administrative responsibilities by serving as directors of centers and institutes or as department chairs (see Policy 103-95 "Policies Related to Department Chairs"), and to serve the public through professional organizations and community outreach activities.
In fulfilling their obligations, faculty members are expected to have a substantial presence on campus during the academic year, beginning with freshman orientation and ending with commencement, which they are expected to attend. A member of the faculty with research projects or other commitments requiring a lengthy absence from the campus during the academic year should apply through her/his department chair to the president's office for a leave for the period in question. See Section VII.B below for guidelines on normal professional travel and Policy 206-71 "Summer Recess for Faculty Members."
More generally, membership in the academic profession carries with it special responsibilities. Faculty members should demonstrate ethical behavior in their professional dealings with students, colleagues, staff, and persons outside the university. As teachers, they should encourage the free pursuit of learning, holding to the best scholarly and ethical standards of their disciplines. Faculty members have obligations to their colleagues that derive from common membership in the community of scholars. In the exchange of criticism and ideas, they should respect the opinions of others and defend the free inquiry of associates. As members of an academic institution, faculty members should recognize that their paramount responsibilities are within the university and give due regard to these responsibilities in determining the level of activities that they can assume outside the university. See Policy 216-97 "Outside Activities of Faculty and Faculty Fellows."
1. Honor Code
Faculty members have a particular responsibility to support the university's Honor Code. That code provides not only a comprehensive system for completing assignments and examinations but also a commitment to integrity as a part of a Rice education. Faculty members should follow carefully the Honor Council's booklet, "The Role of the Faculty in the Honor System," which establishes guidelines for writing course syllabi, conducting examinations, assigning homework and papers, and -- what is most important -- dealing with suspected violations. (See also the "Honor System Guide for Rice Faculty" that is available on Rice's website, Riceinfo.)
2. Student Advising in Departments and Colleges
Faculty members are expected to advise Rice students. The faculty are organized within their departments to assist undergraduate majors and graduate students in planning their courses of study and their subsequent careers. Those faculty who also serve as divisional advisors, associates, and masters in the residential colleges help freshmen and sophomores choose courses and adjust to college life. Beyond that, the faculty are encouraged to associate informally with students, especially in the colleges; but they are reminded that Rice adheres to state laws that prohibit the serving of alcoholic beverages to students under twenty-one. (See Academic Handbook for New Students.)
3. Employing Students and Respecting their Privacy
Faculty members who need assistance with their teaching or research may be able to employ students. They should see their departmental coordinators for information on work/study or other programs that support students while they work within the university. In some cases, there may be opportunities to give students course credit in place of monetary rewards for appropriate academic efforts.
Faculty should also be aware that students have a clearly established right to privacy under the Federal Family Educational Right to Privacy Act (or Buckley amendment). The faculty should, therefore, be careful to protect students' privacy when dealing with grades, records, and letters of recommendation. The Registrar can help anyone who is uncertain how to comply with the Buckley amendment.
The Rice University staff includes literally hundreds of talented individuals. These women and men support the faculty through department, school, and university offices. They maintain and develop the library and a variety of laboratories; they schedule classes and keep academic records; they provide meals throughout the university; and they keep the campus safe and attractive. The staff works very hard to serve the university community and to carry out policies they rarely establish. They deserve the respect, appreciation, and consideration of all members of the faculty.
F. Grievance
Faculty grievance is a grievance against an action, judged by a faculty member to be unjust or unfair, that affects directly and adversely academic freedom, economic conditions, professional status, or some other circumstance of employment. Included among such grievances are disputes relating to the interpretation of an appointment letter, enforcement of university policies governing faculty conduct, and decisions such as assignment of academic duties. The most immediate appeal in case of a faculty grievance should be made to the appropriate university official. If this appeal fails to remedy the situation, then a further appeal should be directed to higher-level officials. Thus, if the department chair cannot resolve the dispute, the appeal should go to the appropriate dean, and, if that also fails, to the provost. If none of these appeals is successful, then a faculty member may file a grievance. Grievances are handled by the Appeals and Grievances Committee of the Faculty Senate. This committee will hear two kinds of cases: appeals concerning whether proper university procedures have been followed (for example, in decisions on promotion and tenure) and grievances regarding any matter of concern (except decisions on promotion and tenure, which are subject only to procedural appeals). After hearing the case, the committee will submit a report with recommendations to the president with a copy to the speaker of the Faculty Senate and to the appellant or grievant. If the grievance is not resolved by this process, the faculty member may request a formal hearing as outlined in Procedure for Investigating Accusations... .
Membership in the academic community imposes on faculty members, university officials, and students an obligation to respect the dignity of others, to acknowledge their right to express differing opinions, and to foster and defend intellectual honesty, freedom of inquiry and instruction, and free expression on and off campus. It is therefore the policy of Rice University to provide an environment that is free from discrimination on the basis of race, color, religion, sex, sexual orientation, national or ethnic origin, gender, age, disability or veteran status. Any discriminatory conduct seriously undermines the atmosphere of trust and respect that is essential to a healthy academic environment.
Furthermore, it is Rice University's policy to take affirmative action to ensure equality of opportunity in all aspects of employment. Members of the Rice faculty share with the administration responsibility for sustaining this policy and should work with the Office of Affirmative Action to ensure that women and individuals from minority groups will have an equal opportunity to be considered for and appointed to faculty positions. The following policies describe Rice's affirmative action guidelines in greater detail: Policy 815-96 "Equal Employment Opportunity/Affirmative Action Policy," and Policy 821-92 "Equal Opportunity/Affirmative Action Statement for Use on Publications and Advertisements," and the September 18, 1997, Resolution of the Board of Governors: "The Rice University Commitment to Cultural Inclusiveness."
Sexual harassment is prohibited by law. It is the policy of Rice University to provide an environment that is free from sexual harassment. Sexual harassment may involve the behavior of a person of either sex against a person of the opposite or same sex and occurs when such behavior constitutes unwelcome sexual advances, unwelcome requests for sexual favors, and other unwelcome verbal or physical behavior of a sexual nature where:
submission to such conduct is made either explicitly or implicitly a term or condition of an individual's education or employment;submission to or rejection of such conduct by an individual is used as the basis for academic or employment decisions affecting the individual's welfare; or
such conduct has the purpose or effect of substantially interfering with an individual's welfare, academic or work performance, or creates an intimidating, hostile, offensive, or demeaning education or work environment.
This policy applies to all members of the university community, who are encouraged to report promptly complaints about sexual harassment. Persons found to be in violation of this sexual harassment policy will be subject to disciplinary action that may include, but is not limited to, written warning, demotion, transfer, suspension, or and revised it in are provided in Policy 830-01"Rice University Sexual Harrassment Policy and Procedures" and the September 1997 Resolution of the Board of Governors on Sexual Harassment.
Faculty members should be aware that there are special risks in a sexual or romantic relationship between individuals in inherently unequal positions, such as teacher and student or supervisor and employee. This inequality, as recognized by the faculty, "brings into question the whole concept of 'consent' to amorous relationships, which are especially troublesome if the relationships are sexual. Because of the unique nature of the teaching environment, relationships that might otherwise be private and 'consensual' can have a very negative impact on the academic community by compromising the ability of the faculty to teach and to evaluate all students fairly. Furthermore, students and others not directly involved in the relationship may be adversely affected by favoritism being shown. Faculty should recognize their vulnerability to subsequent allegations of sexual harassment and/or unprofessional conduct even when both parties appear to have consented to a relationship. An indirectly affected third party may also make allegations under the University Sexual Harassment Policy. For these reasons, amorous relationships between faculty members and students are usually unwise. Moreover, when the faculty member has direct professional jurisdiction over the student, any sexual relationships (including sexual touching and sexual propositioning) violate professional ethics. Any amorous relationship between faculty and students could result in disciplinary action if a complaint is filed as described in the Sexual Harassment Policy. . . .
"To retain an atmosphere of trust and free inquiry in the educational process, those in positions of authority must studiously avoid associations or activities that abuse or even appear to abuse the power that they have been granted. On the other hand, this statement is not intended to discourage non-amorous friendly associations between faculty and students, which constitute a great strength of our University."
The faculty approved this statement to be used in addition to Policy 830-01 "Rice University Sexual Harassment Policy and Procedures" in September 1991 and revised it in 1992 and 1998. A revised Faculty Statement has been approved by the Rice Faculty Senate to take effect on September 1, 2009. It replaces the statement approved by the faculty (as an addendum to Policy 803) in 1991, 1992, and 1998. To view this revision, see the Faculty Senate website at http://professor.rice.edu/professor/faculty_senate.asp.
Dismissal of faculty members with tenure or with a term appointment before the end of the term can occur only for cause. Adequate cause for dismissal must be related directly and substantially to the fitness of a faculty member in his/her professional capacity as teacher and scholar. A faculty member will be dismissed for cause only after he/she has had an opportunity for a formal hearing by a Faculty Hearing Panel convened for the express purpose of considering dismissal for cause. The procedure to be followed during dismissal hearings is established by the Faculty Senate. This procedure ensures an opportunity for a dignified, careful, and fair hearing, guaranteeing due process. Following the hearing, the panel will weigh the evidence and give the president a written report, containing its findings and recommendations. The final decision will be made by the president after reviewing the report. If he/she rejects the report, both the panel and the faculty member will have an opportunity for further comment before the case is transmitted to the board. Pending a final report by the panel, the administration can suspend the accused faculty member with full pay only if there is a threat of harm to persons or property. No severe sanction may be imposed on any faculty member without due process. Thus, if the administration believes that the behavior of a faculty member is grave enough to warrant strong punitive action, the case must be evaluated by a procedure identical to that used in investigating charges warranting dismissal. See Policy 201-04"Faculty Appointments, Promotions, and Tenure" and Procedure for Investigating Accusations... .
1. Communications Channels
Rice University publicizes the work of its faculty (as well as students and alumni) through two publications: The Rice News, a bi-weekly publication prepared in the Rice Office of Public Affairs and distributed electronically, and RICE - The Magazine of Rice University, a quarterly publication of the Office of Public Affairs that is distributed to alumni, faculty, and friends. The Rice public affairs office also helps faculty bring their work to the attention of the news media. A current listing of scholarly interests of the faculty and faculty fellows is maintained by Office of Institutional Research and can be found on-line.
Although Rice encourages faculty members to share their accomplishments with the public, the faculty do have a responsibility to speak and write with accuracy and with respect for the opinions of others. The faculty should make clear when they speak on their own authority and when as advocates for any group or for the university.
2. Political Activities
Faculty members acting as individuals and not in the name of the university have the right to express their opinions, to picket, and to hold demonstrations or meetings on campus so long as such activities do not violate local, state, or federal laws, and so long as university functions are not disrupted and access to any part of the campus is not impeded (see Policy 802-82 "Use of University Facilities and Scheduling Campus Events"). Any event sponsored or presented by faculty members or campus organizations must adhere to the procedures cited in this policy.
The university, as a tax-exempt organization, is also subject to federal and state law concerning activities of a political nature. Tax-exempt organizations are limited in the ways they may influence legislation or intervene in political campaigns on behalf of candidates for public office. Faculty members wishing to engage in lobbying may be limited by the Byrd amendment to the 1990 Department of Interior and Related Agencies Appropriations Act, which bars the use of federal funds to influence the awarding of specific federal grants, contracts, and loans. Faculty members should consult the president's office, the sponsored research office, or the general counsel for advice on these issues.
 |
 |