Appendix D: Academic Freedom and Academic Tenure

In this Appendix:

Academic Freedom and Academic Tenure
Faculty Participation in the Appointment and Retention of Administrators

Academic Freedom and Academic Tenure

This document embodies an agreement between the president and the faculty as to policies and procedures with respect to academic freedom, academic tenure, and certain matters of due process. The document was first drawn up in 1965; some amendments and additions were made in 1975. Agreement to the terms of the document as revised was given on behalf of the faculty by vote of the Academic Council on February 19, 1976. In a letter to the chair of the Academic Council dated February 11, 1976, the president gave his approval. (1982 and 1987 revisions reflect changes in University Bylaws only.)

I. Academic Freedom

A. To teach and to discuss in their classes any aspect of a topic pertinent to the understanding of the subject matter of the course being taught.

B. To carry on research and publish the results subject to the adequate performance of their other academic duties.

C. To act and to speak in their capacity as a citizen without institutional censorship or discipline.

II. Academic Tenure

A. Academic tenure may be achieved for a specific period of time in the case of "term appointments" or indefinitely in the case of "continuous academic tenure appointments." Article XXII, paragraph 2 of the University Bylaws states: "Members of the University Faculty with an unmodified rank of assistant professor, associate professor or professor in the defined faculty unit (including departments) of their primary appointment shall have tenure after eight years of continuous service at the University, or such shorter period as may be determined for individual cases by the Board of Trustees or its Executive Committee.[1] In the School of Medicine, however, probationary service for tenure may be extended up to, but no more than, three years to faculty positions within defined faculty units (including departments) to provide the extra time deemed necessary to judge tenure qualifications with requisite certainty."

B. A faculty member at the regular tenure track rank of assistant professor or above with continuous full-time service at Duke University for a total period of eight years in the unmodified rank of assistant professor, associate professor, or professor, and whose appointment extends beyond the eighth year of full-time service (eleventh in the School of Medicine), attains continuous academic tenure at the beginning of their ninth (or twelfth) year of service. By specific action of the Executive Committee of the Board of Trustees, a full-time faculty member at the regular tenure track rank of assistant professor or above may be granted continuous academic tenure before completing eight (or eleven) years of full-time continuous service at the university. If years of service at other institutions are to be counted toward the award of continuous academic tenure, this fact will be stated in the initial letter of appointment.

C. Persons holding administrative positions achieve academic tenure by reason of their academic instructional rank as provided by paragraph B.

D. A faculty member who has been granted continuous academic tenure will not lose their tenure status if, with mutual consent of the university and the faculty member and with periodic review of the university, they transfer to part-time service.

III. Mutual Obligations

The principles of academic freedom and academic tenure impose certain obligations both upon Duke University and upon members of the faculty.

A. The university will give a faculty member at the time of appointment a precise statement in writing of the conditions of the appointment. This statement should include the rank, the salary, and the duration of the appointment (a date of termination or a statement that the appointment carries continuous academic tenure). All subsequent letters involving reappointment or promotion should specify the rank and the duration of the appointment.

B. The university may terminate the appointment of a full-time academic staff member having a term appointment prior to the expiration of the appointment, or may terminate the appointment of an academic staff member having continuous academic tenure prior to retirement, for misconduct or neglect of duty; or because of a change in the academic program, made with the advice of the appropriate body or bodies of the faculty, as a consequence of financial exigency or for any other reason which discontinues or reduces a segment of the university's research or educational program. Whenever an appointment is terminated because of a decision not to continue a segment of the research or educational program, every effort will be made to reassign the academic staff involved to other university programs. If an academic position is terminated, it will not be reestablished and filled with new academic staff within a period of two years unless the appointment has been offered to the staff member who was originally displaced and they have declined the appointment.

C. In case of the termination of a term appointment prior to its stated expiration date because of a change in the academic program, and in case reassignment to another position is not feasible, the university will pay the incumbent one academic year's salary or will notify them one year prior to the date on which the appointment will be terminated.

D. In case of a term appointment, the university will notify the incumbent in writing of its intention to renew or not to renew the appointment as follows:

     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.

     2. No later than January 15 of the second or subsequent academic years 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 least five months in advance of its termination.

     3. If the university is unable to provide notice of its intention not to renew the appointment by the date or time specified above, it will pay the incumbent the appropriate fraction of their academic year's salary in lieu of notice, appropriate being understood as the fraction covering the period between the required notification date and the date on which notification was actually provided.

E. In the case of termination of a continuous academic tenure appointment because of a change in the academic program, and in the case that reassignment to another position is not feasible, the university will pay the incumbent one academic year's salary or will notify them one year prior to the date on which the appointment will be terminated.

F. The university will not extend the appointment of a full-time lecturer (associate in the Medical School) for more than seven years (eleven in Medicine) except in unusual circumstances which are to the advantage of the lecturer.

G. As members of learned professions, faculty members of Duke University should remember that the public may judge their professions and their institution by their actions. They should also remember that in a deeper sense they cannot separate freedom as a member of the academic community from their responsibility as a privileged member of society. While the university will always protect freedom to espouse an unpopular cause, faculty members have a responsibility not to involve the university. Hence, when speaking, writing, or acting in the capacity of a private citizen, they should make every effort to indicate that they are not spokespersons or representatives of the university.

H. A faculty member who resigns voluntarily should give due consideration to the problems that may arise in obtaining a replacement and should fix the effective date of resignation with this commitment in mind.

I. A faculty member should devote their professional efforts primarily to the promotion of the academic objectives of the university.

IV. The University Ombuds and Faculty Hearing Committee

The Office of the Ombuds and University Ombuds shall address concerns or inquiries from faculty and instructional staff related to problems in the workplace or alleged instances of unfairness, impropriety, or insensitivity.  The authority of the University Ombuds and the jurisdiction of the Faculty Hearing Committee is set out in detail in Appendix F. Complaints of discrimination or harassment, including those based on age, color, disability, gender, gender expression, gender identity, genetic information, national origin, race, religion, sex, sexual orientation, or veteran status, should be filed with the Office for Institutional Equity or, where the alleged sexual misconduct is by a student, with the Office of Student Conduct.

V. Hearing Procedures for Cases Involving Dismissal

A. Proceedings to dismiss a member of the university faculty who has tenure or whose term appointment has not expired shall be initiated by the president only after they have made sufficient investigation to determine that reasonable grounds exist. The president should ordinarily discuss the matter informally in personal conference with the faculty member in question. If the president discusses the matter with other officers of the university and with other members of the faculty, care should be taken to keep in confidence any accusations that may reflect adversely on the faculty member under investigation.

B. If a mutually satisfactory adjustment does not result from the informal discussions contemplated in paragraph A, the president may then commence formal proceedings to consider the question of dismissal by service of a written notice on the faculty member. The written notice shall include a statement informing the faculty member of the grounds proposed for dismissal set forth in as much detail as is practicable, and of the right, if they so request, to a hearing to be conducted by the Faculty Hearing Committee at a time and place specified by the committee. The written notice shall also be accompanied by copies of or references to the applicable bylaws and other governing documents of the university establishing the faculty member's rights and by a summary of the evidence on which the charges are based and a preliminary list of witnesses to be called to testify at the hearing. The faculty member should reply in writing to the charges, and specify whether they wish a hearing.

C. Procedures for the hearing are described in Appendix F of this handbook.

D. Suspension of the faculty member during the dismissal proceedings is justified only if serious harm to themselves or to others is threatened by the continuance in the performance of their duties. Such suspension shall not interrupt the payment of the faculty member's salary and other compensation.

E. Except for announcements to inform interested persons of the time and place of the hearing and similar matters, public statements about the case shall be avoided in so far as is possible until the proceedings have been completed. If a public announcement of the final decision is made by the president, it will include a statement of the Faculty Hearing Committee's recommendations.

VI. Hearing Procedures for Cases Not Involving Dismissal

The Faculty Hearing Committee may act on disputed claims within their jurisdiction as defined in Appendix F under the procedures described there.

Faculty Participation in the Appointment and Retention of Administrators

The University Bylaws require that the Board of Trustees appoint university administrators upon the recommendation of the president of the university. The faculty of Duke University has a legitimate interest in participating in the search process or retention decision which leads to the presidential recommendation to the board. Moreover, the process of review of administrators is a reasonable and useful method of ensuring institutional health. The faculty is to be involved in searches for and reviews of the most senior officers of the University with authority over issues with major programmatic or budgetary impact on the faculty, and deans who report directly to the provost. The offices listed below fit this definition, and if positions of equivalent rank are created in the future, they are to be covered by this appendix as well.

In order that the search or evaluation process provides the board, president and provost with useful and appropriate information, the faculty's role in the process will be defined by the following procedures (as these procedures relate to the appointment of university officers, they are consistent with the Board of Trustees’ “Procedures for Appointment and Review of Officers,” available at: https://policies.duke.edu/policy/university-officers-appointment-and-review 

I. Selection of Administration Personnel

A. Search Committee

1. President

The search is initiated and carried out by the Board of Trustees. The Academic Council shall provide the board with a list of twelve faculty members from which the board may select the faculty representatives. It is recommended that at least five faculty representatives serve on the search committee and that the vice chair of such a search committee be a member of the faculty.

2. Provost

The search is initiated by the president. The search committee shall consist of a maximum of twelve individuals, of whom at least six individuals shall be members of the faculty. The Academic Council, after consultation with the president, shall provide the president with a list of twelve faculty members from which the president selects the faculty representatives on the search committee. On the advice of the Academic Council, the president shall appoint one of the faculty representatives as chair of the search committee.

3. Executive Vice President for Health Affairs and Executive Vice President

The search is initiated by the president. The Academic Council, after consultation with the president, shall provide the president with a list of twelve faculty members from which the president selects the faculty representatives on the search committee. At least four members of the committee shall be faculty representatives. For the executive vice president for health affairs, at least two faculty members shall be selected from within Duke Health (at least one from the clinical faculty and at least one from basic sciences) and at least two from outside Duke Health. The chair or vice-chair of the committee shall be a faculty member. In naming the faculty member to serve as chair or vice-chair, the president shall consult with the Academic Council.

4. Dean of the Graduate School, Vice-Provost for Undergraduate Education, and Dean of Arts and Sciences.

The president and the provost shall initiate a search to fill these positions. The search committee shall consist of eight individuals, of whom at least four shall be faculty representatives. The faculty representatives and the committee chair shall be selected by the initiators from a list of ten faculty members provided by the Academic Council.

5. Deans of the Schools of Business, Divinity, Engineering, Environment, Law, Medicine,Nursing, and Public Policy.

The president and the provost shall initiate a search to fill these positions. The search shall be initiated in a manner consistent with both professional school practices and the procedures at Duke University. At least one faculty representative from outside the professional school shall be appointed to the search committee from a list of four faculty members provided by the Academic Council. When the Executive Vice President for Health Affairs also serves as the dean of the School of Medicine, the search procedures for the Executive Vice President for Health Affairs position described in Paragraph 3, above, will apply.

6. The president may call on the Academic Council for assistance in identifying candidates for other positions.

B. Role of Search Committees

1. The primary concern of a search committee is to provide a search initiator with the best possible advice on the filling of the position in question.

2. The search committees shall seek qualified individuals from both inside and outside the university. The committee shall advertise in appropriate places (e.g., the Chronicle of Higher Education). The president, the provost, other administrators, and faculty shall be asked to provide names of potential candidates.

3. The search committees shall normally interview the candidates on the short list for any position. The interview may be conducted informally by a subcommittee of the search committees.

4. Following the search, interview, and evaluation process, the search committees shall provide the search initiator with a list of qualified candidates together with a written evaluation of those candidates. Unless instructed to the contrary by the search initiators, the list of qualified candidates shall not be ranked in order of the committee's preferences.

5. The search initiators may legitimately ask the search committees to provide written evaluations of the strengths and limitations of specific candidates, including those not on the search committees' list of qualified candidates.

II. Review of Administration Personnel

A. Deans of Faculty of Arts and Sciences, Vice-Provost for Undergraduate Education, the Graduate School, and Schools of Business, Divinity, Engineering, Environment, Law, Medicine, Nursing, and Public Policy

1. Deans should be appointed for a five-year period, normally renewable once.

2. Reviews of deans shall be conducted by a special committee appointed by the provost after consultation with the Academic Council and a written report shall be presented to the provost with a copy to the president. During the fourth year of the initial appointment, each dean shall be reviewed unless the dean indicates they do not wish to be considered for another term. Reviews should generally commence during the first half of the dean’s fourth year, and the report shall be completed no later than three months prior to the end of that fourth year. Because a dean’s term is normally to be renewed only once, a review committee should not be formed in the second or any subsequent term unless the provost shall discuss with the committee chair or committee their reactions and responses to it..

3. At the end of the fourth year of a dean’s term, the president and provost should recommend reappointment, or initiate a search for a new dean.

B. Role of the Review Committee

1. The committee conducts interviews with those who have worked with the administrator being reviewed, e.g., department chairs.
2. It obtains a description of the position and its responsibilities for use as a basis for evaluation.
3. It invites comments in writing from all faculty members in the relevant unit(s).
4. It interviews the person under evaluation.
5. It prepares a written report, and shall provide additional and specific information requested by the provost.
6. The review process should develop and evaluate information, not make specific recommendations regarding reappointment.

C. Review of the Provost, Executive Vice President for Health Affairs, and Executive Vice President

A review of the provost, executive vice president for health affairs, and executive vice president shall be conducted in the fourth year of their terms by a special committee appointed for this purpose. After consultation with the Academic Council, the president shall determine the overall composition of the committee, appoint faculty representatives from a list of names provided by the Academic Council, and in the case of the provost and executive vice president appoint one of the faculty members to serve as chair; in the case of the executive vice president for health affairs the chair or vice- chair of the committee shall be a faculty member. The procedures for the review of deans provide a model for the review of these officers. Because of the substantial non-academic duties of the executive vice president and the executive vice president for health affairs, their review committees will include significant representation from administrative offices and from the health system in order to ensure that the broad responsibilities of the offices are appropriately reviewed. The committee will present its report to the president. The president may also call on the Academic Council for assistance in reviewing other senior administrators. When the Executive Vice President for Health Affairs also serves as the dean of the School of Medicine, the review procedures for the Executive Vice President for Health Affairs position described in this section will apply.

 D. President

The president is typically appointed for a five-year term. The Board of Trustees shall initiate a public review, generally in the fourth year of the president’s term, with input from the community, faculty, students, staff, and alumni, as part of the reappointment process. The Executive Committee of the Board of Trustees shall consult with the Academic Council before establishing the procedures for such review.

In the May 2023 revision, Appendix C became Appendix D.