Tenure is a principle that entitles a faculty member to continuation of his or her annual appointment until relinquishment or forfeiture of tenure or until termination of tenure for Adequate Cause (as defined under UT Policy BT0006), financial exigency, or academic program continuance. The burden of proof that tenure should be awarded rests with the faculty member. The grant of tenure shifts the burden of proof concerning the faculty member’s continuing appointment from the faculty member to the University, except in the case of relinquishment or forfeiture of tenure. More information regarding the Board’s policy on tenure can be found here.

3.10.1. Authority to Grant Tenure

Tenure is acquired only by positive action of either the President or the Board, based on the circumstances under which tenure is sought, and is granted in a particular academic unit (department, school, or college). The Board makes the decision whether to grant tenure, based upon the recommendation of the President, to (1) all University Officers as defined in bylaws and adopted by the Board; (2) any faculty member who is to be granted tenure upon initial appointment without serving a probationary period at UTC; and (3) any faculty member to be tenured after serving less than a six-year probationary period, but not including a faculty member who has been employed by the University in a tenure-track position for six years and whose probationary period has been suspended for one or more year(s) in connection with a leave of absence or modified duties assignment under Section 3.3.4.3 above. The President makes the decision whether to grant tenure, based upon the recommendation of the Chancellor, in all other cases. The President or the Board (as applicable according to UT Policy BT0006) may grant tenure at any time during a given year, after confirming that all tenure review and recommendation procedures in Appendix A of UT Policy BT0006 have been followed.

3.10.2. Eligibility for Tenure Consideration

Board policy establishes the following minimum standards for eligibility for tenure consideration:

1. Regular, full-time, tenure-track faculty appointments at the academic rank of instructor, assistant professor, associate professor, or professor are eligible for tenure consideration;
2. Temporary, term, and part-time appointments are not eligible for tenure consideration, except that in the extraordinary circumstances defined in Board policy, faculty members who do not have a full-time appointment may be eligible for tenure consideration.^[1]

3‌.10.3. Tenure Upon Initial Appointment

No faculty member shall be granted tenure upon initial appointment except by positive action of the Board upon the recommendation of the President, which shall include documentation of compliance with all tenure review and recommendation procedures stated in Appendix A of UT Policy BT0006 and as established under Section 3.10.7. of this Handbook. The Board will grant tenure upon initial appointment only if (1) the proposed appointee holds tenure at another higher education institution and the Board determines that the President has documented that the proposed appointee cannot be successfully recruited to UTC without being granted tenure upon initial appointment; or (2) the Board determines that the President has documented other exceptional circumstances warranting the grant of tenure upon initial appointment. When necessary between regular meetings of the Board, the Board’s executive committee may act on behalf of the Board to grant tenure upon initial appointment in accordance with the provisions of this Section 3.10.3.^[2]

‌3.10.4. Criteria for Tenure Consideration

The criteria for appointment and reappointment reflect the basic elements for tenure consideration; however, a positive recommendation for tenure requires demonstrated excellence in performance. Expectations necessarily vary within the respective disciplines of faculty members and in light of the differing ranks of faculty members. The natures of disciplines are such that they emphasize differing levels of performance and differing mixes and types of research and service. Consequently, the tenured faculty members in the disciplines in which tenure-track faculty members work will recommend the standards, degrees of emphasis, and the appropriate types of research and service required for tenure. The individual standards and criteria for tenure for each academic department must be explicitly laid out in the bylaws of the academic department.

A faculty member, at a minimum, must meet the following criteria necessary for the rank of Associate Professor in order to be granted tenure:

1. have a doctorate degree or other terminal degree in his or her discipline or present equivalent training and experience;
2. have achieved a reputation as an accomplished teacher;^[3]
3. have achieved a good record in research, scholarly, or creative activities;
4. have an established record of effective participation in professional activities other than teaching and research;
5. have demonstrated ability to relate appropriately to students and professional colleagues; and
6. have demonstrated excellence in at least one of the three areas of responsibility (i.e., teaching, service, and research) required for full-time faculty status.

An academic department shall establish more specific criteria for tenure in that academic department that are consistent with the tenure criteria stated in UT Policy BT0006 and this Handbook but may be more restrictive. Departmental criteria for tenure shall be effective upon approval of the dean and Provost and shall be published in the bylaws of the department. Departmental criteria for tenure shall not be required, however, if more-specific criteria have been established by the applicable college, and the dean and Provost have approved application of the college criteria in lieu of departmental criteria.

3.10.5. Tenure Dossier

All tenure candidates must prepare and submit a tenure dossier, which will be reviewed and inform the recommendations made at each stage of the tenure review process. The dossier is standard to the extent that it describes the way in which the candidate has met each of the respective criteria for tenure as listed in this Handbook. The departmental bylaws shall contain a statement of the required contents of the tenure dossier that is consistent with the Faculty Handbook and with applicable college bylaws, unless the dean and the Provost have approved the department’s application of tenure dossier requirements established in college bylaws.

The dossier should include a preface that must contain a Curriculum Vita (CV) describing the candidate’s education and experience (both prior to coming to UTC and while at UTC) and a one- page executive summary of the same. In addition, the preface to the dossier may contain a summary of the candidate’s EDO evaluations. The dossier should be divided into the three distinct components based on the three performance areas outlined in the EDO: (1) teaching and advising; (2) research, scholarship and creative activities; and (3) professional service to the University, profession, and community. The respective components of the dossier should include all documentation for and evidence of activities related to, respectively, the teaching, research, and service in which the candidate has engaged since the candidate’s initial appointment at UTC. A teaching philosophy and a record of Student Ratings of Faculty for the candidate must be included in the dossier. Other materials should be included at the discretion of the candidate, and, if possible, on the advice of the departmental RTP Committee. The departmental bylaws shall set forth information pertaining to appropriate activities of faculty members in the academic department for each of the three areas of professional responsibility.

3.10.6. Requirement for Peer Review Teaching and External Reviews

1. Peer Review of Teaching

Tenure candidates who engage in teaching will be subject to a peer review of their teaching performance as part of the tenure review process. Each academic department will establish procedures for conducting teaching peer reviews for the tenure review process and publish such procedures in its bylaws. Departmental procedures for teaching peer reviews are not required, however, if the dean and the Provost have approved application of college-wide teaching peer review procedures in lieu of departmental procedures. College-wide teaching peer review procedures approved by the dean and Provost will be published in the college bylaws.

2. External Reviews

All dossiers for tenure/promotion must include reviews from no fewer than two (2) external reviewers. Each college or academic department will establish an external review process, which will incorporate, at a minimum, the following requirements:

• The external reviewers must be in the same, or a very similar, academic field.
• The external reviewers must be tenured and at, or above, the rank that the candidate seeks.
• The external reviewers must be at a comparable institution.
• The external reviewers must not have a current conflict of interest with the candidate.
• The departmental RTP Committee and the candidate shall be jointly responsible for selecting the external reviewers.
• Neither the departmental RTP Committee nor the candidate will be permitted to contact the external reviewers during the review process. However, the external reviewers are permitted to contact the chair of the departmental RTP Committee for procedural clarifications.

Each academic department will publish its external review process in its bylaws. Departmental procedures for external reviews are not required, however, if the dean and the Provost have approved application of college-wide external review procedures in lieu of departmental procedures. College-wide external review procedures approved by the dean and Provost will be published in the college bylaws.

The purpose of the external review is not to make a recommendation regarding tenure/promotion but to provide an objective evaluation of the faculty member’s record to date. This external review will include the performance area of research and may also include the performance areas of teaching and service, as defined by college and departmental bylaws. It is the responsibility of the faculty member seeking tenure/promotion to demonstrate excellence in applicable areas. Examples of accomplishments or evidence of excellence include: peer-reviewed publications; presentations at major, regional, national, or international conferences; substantial contributions to regional, national or international committees or work groups; and regional and national awards/recognition for teaching, research, and professional contributions. This list is illustrative only, and is not exhaustive. Objective standards of record and of excellence will be defined through college and departmental bylaws.

3.10.7. Procedure for Consideration and Grant of Tenure

A calendar is established annually by the Provost that should be followed during the development of tenure recommendations. The calendar for the tenure review process is available on the UTC Academic Affairs website here.

The candidate will be informed in writing of the progress of his or her tenure candidacy at each stage of the process. The procedure for the consideration and granting of tenure includes the following stages:

1. Submission of Tenure Dossier: The departmental RTP Committee, at its organizational meeting each academic year, will consider a list of candidates for tenure and request tenure dossiers from the candidates. The candidate shall then prepare and submit a tenure dossier to the departmental RTP Committee.
2. RTP Committee’s Recommendation: After receiving and reviewing dossiers from each faculty member under consideration for tenure, the departmental RTP Committee (consisting of tenured faculty in the department) holds a preliminary review at which it has an opportunity to request clarifying information from each candidate prior to final consideration and forwarding of recommendations to the department head. The departmental RTP Committee’s recommendation is decided upon by majority vote (yes or no) of those committee members present and voting. Votes will be cast anonymously. Abstentions are permitted. A quorum, as specified by departmental bylaws, is required for actions to take place, and the departmental bylaws will specify the minimum number of votes necessary to constitute a positive recommendation. The vote of the departmental RTP Committee is advisory to the department head. The departmental RTP Committee will forward a written recommendation to the department head, together with records of committee membership, attendance at final discussions, and voting results.
3. Department Head’s Recommendation: After making an independent judgment on the tenure candidacy, the department head shall submit his or her recommendation to the dean with a written summary explanation of his or her judgment, with a copy provided to the tenure candidate at the same time. If the department head’s recommendation differs from the recommendation of the departmental RTP Committee, the summary must explain the reasons for the differing judgment, and the department head must provide a copy of the summary to the departmental RTP Committee. The departmental RTP Committee may forward a dissenting report to the next level of review, with a copy provided to the tenure candidate at the same time.
4. Dean’s Recommendation: All tenure recommendations of the department head, whether positive or negative, shall be reviewed by the dean. The dean must establish a college-wide committee for review of tenure and promotion recommendations or, if a college-wide committee is not established, some other independent peer review committee in addition to the departmental RTP Committee’s review. The recommendation of such a college-wide committee shall be advisory to the dean. After making an independent judgment on the tenure candidacy, the dean shall forward his or her recommendation and a summary explanation for the recommendation to the Provost, with a copy provided to the tenure candidate at the same time.
5. Provost’s Recommendation: All tenure recommendations of the dean, whether positive or negative, shall be reviewed by the Provost. After making an independent judgment on the tenure candidacy, the Provost shall forward his or her recommendation and a summary explanation for the recommendation to the Chancellor, with a copy provided to the tenure candidate at the same time.
6. Chancellor’s Recommendation: All tenure recommendations of the Provost, whether positive or negative, shall be reviewed by the Chancellor. After making an independent judgment on the tenure candidacy, the Chancellor shall forward only positive recommendations, with a summary explanation for the recommendation, to the President, with a copy provided to the tenure candidate at the same time.
7. President’s Action or Recommendation: The President acts only on the Chancellor’s positive recommendation for tenure. If the President concurs in the positive recommendation, he or she shall grant tenure if he or she is authorized to do so, and the Chancellor shall give the faculty member written notice of the effective date of tenure. If only the Board is authorized to grant tenure, the President shall submit the recommendation to grant tenure and a summary explanation for the recommendation to the Board. If the President does not concur in the positive recommendation of the Chancellor, the Chancellor shall give the faculty member written notice that tenure will not to be granted.
8. Action by the Board when Required: Only the Board is authorized to grant tenure in certain cases specified in Article III.B. of UT Policy BT0006. In those cases, the Board acts only on the President’s positive recommendation for tenure. After positive action by the Board to grant tenure, the President shall give the faculty member written notice of the effective date of tenure.

3.10.8. Appeal of Tenure Decisions

A decision not to grant tenure may be appealed by a tenure candidate pursuant to the appeal procedure under Section 5.3. of this Handbook. A tenure candidate may not initiate an appeal until after the candidate receives notification of the Chancellor’s recommendation not to grant tenure.

3.10.9. Locus of Tenure

Tenure is granted in a particular academic unit (e.g., department, school) of UTC in a position appropriate to the faculty member’s qualifications. Reorganizations that result in the merger or splitting of departments do not affect the tenure or probationary status of the faculty member involved.

If a tenured faculty member voluntarily transfers from one University of Tennessee campus to another, his or her tenured status is not transferred. However, a review by the responsible administrators in consultation with the tenured faculty of the receiving department may result in an immediate recommendation to the President that tenure at the new campus be granted to the transferred individual; on the other hand, a new probationary period in the receiving department may be established. There shall be no involuntary transfer of faculty members between campuses.

Transfers of tenure between departments at UTC do not require the President’s approval, but must be approved by the responsible campus administrators in consultation with the tenured faculty of the receiving unit, with notice to the President. In any event, prior to the effective date of the transfer all conditions relating to tenure must be documented and accepted, in writing, by the transferring faculty member. If a non-tenured faculty member transfers from one existing department to another, a new probationary period must be established and documented under the same guidelines that would be followed if the faculty member came from another institution. All conditions relating to the new probationary period must be documented and accepted, in writing, by the transferring faculty member. If a tenured faculty member accepts a part-time faculty position or an administrative position with UTC, neither of which can carry tenure, the faculty member retains tenure in the full-time faculty position he or she vacated.^[4]

3.10.10. Grounds for Termination of Tenure

1. Relinquishment or Forfeiture of Tenure

A tenured faculty member relinquishes tenure upon resignation or retirement from the University.^[5] A tenured faculty member forfeits tenure upon taking an unauthorized leave of absence or failing to resume the duties of his or her position following an approved leave of absence. Forfeiture results in automatic termination of employment. The Provost shall give the faculty member written notice of the forfeiture of tenure and termination of employment.^[6]

(1) Resignation

Faculty members who desire to resign should provide written notice to their department head of their intent to resign and their intended resignation date. The department head will forward the resignation notice to the dean. Except as otherwise provided in this section, the dean will accept the resignation in writing and forward it to the Office of Human Resources with a copy to the Provost. Since faculty appointments are made for the academic year, it is expected that faculty members who wish to resign will do so effective at the end of the academic year. In all cases, notification of resignation must be made early enough to allow UTC to cover any of the faculty member’s scheduled assignments. If a faculty member seeks to resign before the end of the faculty member’s stipulated appointment term, the acceptance of the resignation will not become official until accepted in writing by the Provost (or the Provost’s designee).

(2) Retirement

Faculty members who wish to retire are expected to provide written notice to their department head of their intention to retire and date of expected retirement at least three months before the intended retirement date. The department head will forward the retirement notice to the dean, Provost and the Office of Human Resources. There is no mandatory retirement age for faculty members, and under normal circumstances, a faculty member controls the decision to retire. The effective date of retirement for faculty members on academic year (nine-month) appointments normally will be at the end of the either the Fall or Spring semester.

2. Extraordinary Circumstances

Extraordinary circumstances warranting termination of tenure may involve either financial exigency or academic program discontinuance. In the case of financial exigency, the criteria and procedures outlined in the Board-approved Financial Exigency Plan for UTC shall be followed. In the case of academic program discontinuance, the criteria and procedures outlined in UT Policy BT0009 – The University of Tennessee Procedural Framework for Academic Program Discontinuance shall be followed, and the termination of tenured faculty may take place only after consultation with the faculty through appropriate committees of the department, the college, and the Faculty Senate. If termination of tenured faculty positions becomes necessary because of financial exigency or academic program discontinuance, the campus administration shall attempt to place each displaced tenured faculty member in another suitable position. This does not require that a faculty member be placed in a position for which he or she is not qualified, that a new position be created where no need exists, or that a faculty member (tenured or non- tenured) in another department be terminated in order to provide a vacancy for a displaced tenured faculty member. The position of any tenured faculty member displaced because of financial exigency or academic program discontinuance shall not be filled within three years, unless the displaced faculty member has been offered reinstatement and a reasonable time in which to accept or decline the offer.^[7]

A decision to terminate a faculty member due to financial exigency or academic program discontinuance may be appealed by the faculty member pursuant to the appeal procedure under Section 5.4.4. of this Handbook.

3. Adequate Cause

“Adequate Cause” for terminating a tenured faculty member means the following:

1. Unsatisfactory Performance in Teaching, Research, or Service, which includes the following and similar types of unsatisfactory performance:
   1. failure to demonstrate professional competence in teaching, research, or service;
   2. failure to perform satisfactorily the duties or responsibilities of the faculty position, including but not limited to failure to comply with a lawful directive of the department head, dean, or Provost with respect to the faculty member’s duties or responsibilities;
   3. inability to perform an essential function of the faculty position, given reasonable accommodation, if requested;
   4. loss of professional licensure if licensure is required for the performance of the faculty member’s duties;
   5. with respect to members of the Health Sciences Center faculty, failure to be granted or loss of medical staff membership and privileges at affiliated teaching hospitals;
   6. loss of appointment (or substantive alteration of the faculty member’s work) with an affiliated entity unless approved in advance by the Provost (or designee) (for example, loss of employment with an affiliated medical practice or loss of “joint faculty” support from Oak Ridge National Laboratory;
   7. as specified in Appendix D to UT Policy BT0006, cessation of employment with an external entity/primary employer if tenure was granted contingent upon remaining employed by the external entity/primary employer; or
   8. dishonesty or other serious violation of professional ethics or responsibility in teaching, research, or service; or serious violation of professional responsibility in relations with students, employees, or members of the community.
2. Misconduct, which includes the following and similar types of misconduct:
   1. failure or persistent neglect to comply with University policies, procedures, rules, or other regulations, including but not limited to violation of the University’s policies against discrimination and harassment;
   2. falsification of a University record, including but not limited to information concerning the faculty member’s qualifications for a position or promotion;
   3. theft or misappropriation of University funds, property, services, or other resources;
   4. admission of guilt or conviction of: (i) a felony; or (ii) a non-felony directly related to the fitness of a faculty member to engage in teaching, research, service, or administration; or
   5. any misconduct directly related to the fitness of the faculty member to engage in teaching, research, service, or administration.^[8]

3.10.11. Other Tenure-Related Policies

The following tenure-related matters are established by Board policy:

1. Exception to Policy Requiring Full-Time Status for Eligibility for Tenure^[9]
2. Disciplinary Sanctions Other Than Termination^[10]
3. Termination Procedures for Unsatisfactory Performance in Teaching, Research, or Service^[11]
4. Termination Procedures for Misconduct^[12]

Additionally, University policy regarding the awarding of Emeritus Status is found at UT Policy HR0102 – Emeritus Status.